Cal. Gov. Code § 5970

Current through the 2023 Legislative Session.

Section 5970 - Definitions

As used in this chapter, the following phrases have the following meanings:

(a)"Person" means any broker, dealer, municipal securities dealer, investment advisor, or investment firm.

(b)"Regulatory agency" means the Department of Financial Protection and Innovation, the securities administrators or other similar regulatory authority in any other state, the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Municipal Securities Rulemaking Board, the Commodity Futures Trading Commission, or any other self-regulatory organization.

(c)"State or local government" means the state, any department, agency, board, commission, or authority of the state, or any city, city and county, county, public district, public corporation, authority, agency, board, commission, or other public entity.

Ca. Gov. Code § 5970

Amended by Stats 2022 ch 452 (SB 1498),s 168, eff. 1/1/2023.

Amended by Stats 2016 ch 86 (SB 1171),s 150, eff. 1/1/2017.

Chapter heading amended by Stats 2016 ch 86 (SB 1171),s 149, eff. 1/1/2017.

Chapter heading amended by Stats 2015 ch 303 (AB 731),s 182, eff. 1/1/2016.

Amended by Stats 2015 ch 190 (AB 1517),s 58, eff. 1/1/2016.