Article 8 - Licensing of Broker-Dealers and Agents
- Section 260.200 - Designation of Institutional Investors and Governmental Agencies and Instrumentalities by Class
- Section 260.204 - Brokers Effecting Transactions in Certain Securities Exempt Under Federal Law. [Repealed]
- Section 260.204.1 - Real Estate Brokers Effecting Transactions in Securities
- Section 260.204.2 - Exemption for Certain Investment Advisers
- Section 260.204.3 - Exemption for Certain Real Estate Salesmen. [Repealed]
- Section 260.204.4 - Commodity Contract Sales. [Repealed]
- Section 260.204.5 - Merger and Acquisition Specialists
- Section 260.204.6 - Licensed Lenders
- Section 260.204.7 - State Teachers' Retirement System
- Section 260.204.8 - Limited Exemption for Commodity Trading Advisers
- Section 260.204.9 - Certificate Exemption for Investment Advisers to Private Funds
- Section 260.204.10 - Certain Canadian Broker-Dealers; Agents
- Section 260.204.11 - Pacific Exchange, Inc. [Repealed]
- Section 260.204.12 - Capital Access Company
- Section 260.210 - Agent Procedures for Broker-Dealers
- Section 260.211 - Application for Broker-Dealer Certificate
- Section 260.211.1 - Application for License by Notification
- Section 260.211.2 - Expiration of Broker-Dealer Certificates
- Section 260.211.3 - Waiver of Denial or Revocation Under Section 25211(b) of the Code
- Section 260.211.4 - Exemption for Finders: Form
- Section 260.211.5 - Annual Renewal of Exemption for Finders: Form
- Section 260.211.6 - Notification of Withdrawal: Finder
- Section 260.211.7 - Maintenance of Records