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California Law (Last Updated: March 4, 2014) |
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Corporations Code - CORP |
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Title 4. SECURITIES |
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Division 1. CORPORATE SECURITIES LAW OF 1968 |
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Part 3. REGULATION AND NOTICE FILING REQUIREMENTS OF AGENTS, BROKER-DEALERS, INVESTMENT ADVISER REPRESENTATIVES, AND INVESTMENT ADVISERS |
Part 3. REGULATION AND NOTICE FILING REQUIREMENTS OF AGENTS, BROKER-DEALERS, INVESTMENT ADVISER REPRESENTATIVES, AND INVESTMENT ADVISERS
| Chapter 1. Exemptions |
| Chapter 2. Licensing of Agents and Broker-Dealers |
| Chapter 3. Licensing and Notice Filing Requirements of Investment Adviser Representatives and Investment Advisers |
| Chapter 4. General Provisions |
| ( Heading of Part 3 amended by Stats. 1997, Ch. 391, Sec. 16. ) |