California Corporations Code

§ 25211

CORP § 25211 Effective Jan 1, 2023Div. 1 · Title 4 · Part 3 · Ch. 2

Statute text

(a)The application for a certificate as a broker-dealer shall be accompanied by the consent to service of process specified in Section 25240 and, unless filed pursuant to subdivision (b), shall contain such information in such detail relating to the applicant and any persons associated with the applicant as the commissioner may by rule require.

(b)A broker-dealer registered under the Securities Exchange Act of 1934 who is a member of the New York Stock Exchange, the NYSE American, the NYSE Arca, or the Financial Industry Regulatory Authority, and who has not had any certificate as a broker-dealer, investment adviser or agent denied or revoked under this law or any predecessor statute, may be licensed by notification pursuant to this subdivision by filing with the commissioner an application setting forth the following information in such form and detail as the commissioner may by rule require:

(1)Such information as is necessary to identify the broker-dealer and its offices in this state, and the location of its records and principal office.

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Legislative history

Amended by Stats. 2022, Ch. 617, Sec. 130. (SB 1202) Effective January 1, 2023.