California Government Code

§ 5970

GOV § 5970 Effective Jan 1, 2023Div. 6 · Title 1 · Ch. 14.5

Statute text

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.

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Legislative history

Amended by Stats. 2022, Ch. 452, Sec. 168. (SB 1498) Effective January 1, 2023.