TITLE 10. Investment

CHAPTER 3. COMMISSIONER OF CORPORATIONS

10 CA ADC T. 10, Chap. 3, References and Annotations

SUBCHAPTER 1. GENERAL PROVISIONS

ARTICLE 1. ADMINISTRATION

s 250.1. Adoption, Amendment and Repeal of Rules.

s 250.2. Definitions.

s 250.3. Statutes Administered by the Commissioner.

s 250.4. Offices of the Department.

s 250.5. Business Hours.

s 250.6. Organization of the Department.

s 250.7. Office for Filing.

s 250.8. Releases.

s 250.9. Public Inspection of Records.

s 250.9.1. Records Subject to Public Inspection.

s 250.10. Requests for Confidentiality.

s 250.10.5. Disclosure of Confidential Information.

s 250.11. Appearance and Practice Before the Department.

s 250.11.1. Telephone Transceiving Equipment.

s 250.12. Interpretive Opinions, Determinations and Specific Rulings.

s 250.13. Applications and Reports.

s 250.14. Verification.

s 250.15. Payment of Fees and Refunds.

s 250.16. Abandonment and Withdrawal.

ARTICLE 2. HEARINGS

s 250.17. Scope of This Article.

s 250.18. Initiation of Hearing.

s 250.19. Service of Notice of Hearing.

s 250.20. Time of Notice.

s 250.21. Subpoenas.

s 250.22. Continuances.

s 250.23. Hearing Record.

s 250.24. Procedure and Evidence.

s 250.25. Cost of Hearing.

ARTICLE 3. CONFLICT OF INTEREST

s 250.30. General Provisions.

Appendix

ARTICLE 4. PERMIT REFORM ACT

s 250.50. Definitions.

s 250.51. Permit Processing Times.

ARTICLE 5. LIMITATIONS ON LICENSES AND CERTIFICATES TO ALIENS

s 250.60. Limitations on Licenses and Certificates to Aliens.

s 250.61. Statement of Citizenship, Alienage, and Immigration Status for Application of Department of Corporations License or Certificate.

ARTICLE 6. ADMINISTRATIVE PENALTIES

s 250.70. Administrative Penalties.

SUBCHAPTER 2. CORPORATE SECURITIES

10 CA ADC T. 10, Chap. 3, References and Annotations

ARTICLE 1. DEFINITIONS

10 CA ADC T. 10, Chap. 3, References and Annotations

s 260.000. Section Numbers.

s 260.001. General Definitions.

s 260.004. Certification of Exchanges.

s 260.008. Circulation of Publications in This State.

s 260.011. Indirect Benefit to the Issuer.

s 260.017. Stock Dividend.

s 260.017.1. Voting Stock.

s 260.017.2. Changes Effected Through Shareholders' Agreements.

s 260.017.3. Change in Close Corporation Status.

s 260.019. Commodity Accounts.

s 260.019.1. Voluntary Inter Vivos Trusts.

s 260.019.2. Non-Business Trusts.

ARTICLE 2. EXEMPTIONS FROM QUALIFICATION

s 260.100. Class Exemption for Persons Issuing Life Income Contracts.

s 260.100.1. Form of Request for Designation.

s 260.100.2. Definition of "Life Income Contract."

s 260.100.3. Request for Order of Exemption.

s 260.101. Insurance Company Securities.

s 260.101.1. Definitions of Terms and Implementation of Section 25101 of the Code.

s 260.101.2. Certified National Securities Exchanges.

s 260.101.3. Notice Under Section 25101 (b) of the Code.

s 260.102. Negotiating Permit.

s 260.102.1. Non-Public Offering Under Subdivision (a) of Section 25102.

s 260.102.2. Non-Public Offering and Sale.

s 260.102.3. Evidence of Indebtedness.

s 260.102.4. One Class of Stock.

s 260.102.5. Beneficial Ownership of Securities.

s 260.102.6. Transfer Restriction on Stock Issued Under Small Offering Exemption. (Repealed)

s 260.102.7. Selling Expenses.

s 260.102.8. Notice of Issuance of Securities Pursuant to Small Offering Exemption.

s 260.102.9. Proof of Mailing.

s 260.102.10. Designation of Institutional Investors and Governmental Agencies and Instrumentalities by Class.

s 260.102.10.1. Distribution Under Securities and Exchange Commission Rule 144A.

s 260.102.11. Advances and Loans in Connection with Small Offering Exemption.

s 260.102.12. Limited Offering Exemption Interpretations.

s 260.102.13. Limited Offering Exemption Excluded Purchasers.

s 260.102.14. Limited Offering Exemption Notice of Transaction.

s 260.102.15. Distribution Under Securities and Exchange Commission Rule 144A.

s 260.102.16. Limited Public Offering Exemption Notice of Transaction.

s 260.102.17. Disclosure Statement Requirement for Section 25102(n)/Rule 504 Offerings.

s 260.102.18. Distribution Under Securities and Exchange Commission Rule 144A.

s 260.102.19. Notice of Transaction for Purchase or Option Plans or Agreements.

s 260.103. Exemption from Qualification of Recapitalizations and Reorganizations.

s 260.103.1. Authorization of New Classes of Stock.

s 260.103.2. Stock Split.

s 260.103.3. Voting Shares.

s 260.103.4. Traded in the Market.

s 260.103.5. Legend or Escrow of Stock Dividend Shares or Split Shares.

s 260.103.6. Limited Exchange Transaction -Notice of Exchange Transaction.

s 260.104. Unsolicited Orders.

s 260.104.1. Designation of Institutional Investors and Governmental Agencies and Instrumentalities by Class.

s 260.104.2. Bona Fide Secured Party.

s 260.104.3. Securities Subject to Legend or Escrow Condition.

s 260.104.4. Order Withholding Exemption.

s 260.105. Exemption for Offers Prior to Sale.

s 260.105.1. Exemption for Oil and Gas Interests Issued for Drillsite Rights or Transit Rights.

s 260.105.2. Out-of-State Sales and Sales to Broker-Dealers.

s 260.105.3. Effective Date of Requirement of Qualification for Secondary Trading.

s 260.105.4. Sale of Franchise.

s 260.105.5. Phantom Stock Plans.

s 260.105.6. Professional Organizations.

s 260.105.7. Inter-Dealer Quotations.

s 260.105.8. Incentive Stock Option Plans.

s 260.105.9. Split or Reverse Split of Beneficial Interests in Voting Trust.

s 260.105.10. Securities of Foreign Issuers.

s 260.105.11. Securities of Foreign Issuers.

s 260.105.12. Temporary Nonissuer Exemption.

s 260.105.13. Extended Eligibility for Nonissuer Transaction.

s 260.105.13.1. Private Resales Under Securities and Exchange Commission Rule 144A.

s 260.105.14. Sales to Public Agencies.

s 260.105.15. Exemption from Qualification of Certain Exchanges.

s 260.105.16. Checks, Drafts, and Money Orders.

s 260.105.17. Exemption for Certain Publicly Traded Common Shares.

s 260.105.18. Commodity Contracts.

s 260.105.19. Exemption for Certain Commodity Contracts.

s 260.105.20. Exemption for Certain Nonprofit Organizations.

s 260.105.21. Exemption for Amendments to Limited Partnership Agreements Pursuant to Corporations Code Section 15520.5.

s 260.105.22. Shares of Foreign Subsidiaries.

s 260.105.23. Exemption for Advances to Corporations.

s 260.105.26. Exemption for Preneed Funeral Trust Arrangements.

s 260.105.27. Temporary Nonissuer Exemption.

s 260.105.28. Reliance on Eligible Securities List.

s 260.105.29. Use of Red Herring Offering Circulars in Regulation A Offerings.

s 260.105.30. Real Estate Loans: Multiple Lender Transactions.

s 260.105.31. Limited Offering Exemption -Transitional Exemption.

s 260.105.33. Senior to Listed or Designated Securities.

s 260.105.34. Exemption for Rated Debt Securities.

s 260.105.35. Exchange-Traded Options on Stock Indices.

s 260.105.36. Exchange-Traded Options on Foreign Currencies.

s 260.105.37. Exemption for Certain Securities Listed on the Chicago Board Options Exchange.

s 260.105.38. Guarantees of Governmental Securities.

s 260.105.39. Resales of Units in Unit Investment Trusts.

s 260.105.40. Certain Canadian Tax-Deferred Retirement Savings Accounts and Canadian Residents.

ARTICLE 3. PROCEDURE FOR QUALIFICATION

ARTICLE 4. STANDARDS FOR THE EXERCISE OF THE COMMISSIONER'S AUTHORITY

ARTICLE 5. CONDITIONS OF QUALIFICATION

ARTICLE 6. OTHER PROVISIONS CONCERNING EXERCISE OF THE COMMISSIONER'S AUTHORITY

ARTICLE 7. GENERAL PROVISIONS RELATING TO QUALIFICATION

ARTICLE 8. LICENSING OF BROKER-DEALERS AND AGENTS

ARTICLE 9. REGULATION OF BROKER-DEALERS AND AGENTS

ARTICLE 10. LICENSING AND REGULATION OF INVESTMENT ADVISERS

ARTICLE 11. GENERAL PROVISIONS RELATING TO AGENTS, BROKER-DEALERS AND INVESTMENT ADVISERS

ARTICLE 12. ADVERTISING SECURITIES

ARTICLE 13. GENERAL PROVISIONS

 
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