Cal. Code Regs. tit. 10 § 260.211.3

Current through Register 2024 Notice Reg. No. 45, November 8, 2024

Section 260.211.3 - Waiver of Denial or Revocation Under Section 25211(b) of the Code

Pursuant to the provisions of Section 25211(b) of the Code, the Commissioner waives in the public interest as a bar to issuance of a broker-dealer certificate by notification any revocation of a broker-dealer certificate pursuant to the provisions of subdivision (b) or (c)(1) of Section 25242 of the Code, or pursuant to a provision of a predecessor statute of substantially identical import or effect.

Cal. Code Regs. Tit. 10, § 260.211.3

1. New section filed 11-29-79 as an emergency; designated effective 1-1-80. Certificate of Compliance included (Register 79, No. 48).
2. Editorial correction of NOTE filed 4-6-83 (Register 83, No. 15).

Note: Authority cited: Sections 25211(b), (c) and 25610, Corporations Code. Reference: Section 25211, Corporations Code.

1. New section filed 11-29-79 as an emergency; designated effective 1-1-80. Certificate of Compliance included (Register 79, No. 48).
2. Editorial correction of NOTE filed 4-6-83 (Register 83, No. 15).