Section 2682.19 - Exemption of Certain Transactions by a Dealer in Securities in Which that Dealer Has NO InterestTransactions in any security shall be exempt from the operation of Section 1104.4 to the extent necessary to render lawful under such section the execution by a broker of an order for an account in which that broker has no direct or indirect interest.
Cal. Code Regs. Tit. 10, § 2682.19
1. Change without regulatory effect amending section heading and section filed 7-14-2021 pursuant to section 100, title 1, California Code of Regulations (Register 2021, No. 29). Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20.1. Change without regulatory effect amending section heading and section filed 7-14-2021 pursuant to section 100, title 1, California Code of Regulations (Register 2021, No. 29). Filing deadline specified in Government Code section 11349.3(a) extended 60 calendar days pursuant to Executive Order N-40-20.