Chapter 2 - LICENSING OF AGENTS AND BROKER-DEALERS
- Section 25210 - Broker-dealer
- Section 25211 - Application for certificate as broker-dealer; license by notification
- Section 25211.5 - Usury exemption for broker-dealer
- Section 25212 - Censure, denial, suspension, or revocation
- Section 25212.1 - Immediate revocation of certificate of broker-dealer
- Section 25213 - Censure, suspension, or denial or bar in public interest and person has committed certain acts of omission, has been convicted, held liable in civil action, enjoined, or subject to order
- Section 25213.3 - Suspension or bar for conviction of felony or misdemeanor
- Section 25214 - Unlawful employment if suspended or barred
- Section 25215 - Notice of intention to enter order; hearing
- Section 25216 - Unlawful transaction or inducement of purchase or sale of security by means of manipulative, deceptive or other fraudulent scheme, device or contrivance
- Section 25217 - Standards and other qualifications
- Section 25218 - Unlawful transaction or inducement of purchase of sale of security in contravention of rules designed to protect investors and public interest
- Section 25219 - Suspension of trading
- Section 25220 - Request that suspension of trading be rescinded
- Section 25221 - Submission of fingerprints of applicant for employment