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Earlier editions: 2020-112018-11

TITLE 4. SECURITIES 25000-31528›DIVISION 1. CORPORATE SECURITIES LAW OF 1968 25000-25707›PART 3. REGULATION AND NOTICE FILING REQUIREMENTS OF AGENTS, BROKER-DEALERS, INVESTMENT ADVISER REPRESENTATIVES, AND INVESTMENT ADVISERS 25200-25256›CHAPTER 2. Licensing of Agents and Broker-Dealers 25210-25221

§ 25213.3

California Corporations Code · 2026-10 edition · updated 2026-10-04 · California

The commissioner shall, after appropriate notices and opportunity for hearing, by order suspend, for a period not exceeding 12 months, or bar from any position of employment, management or control of any broker-dealer, any officer, director, partner, agent, employee of, or person performing similar functions for, a broker-dealer, or any other person, if the person has been convicted of, or has pleaded nolo contendere to, a felony or misdemeanor in violation of Section 25541 that was committed on or after January 1, 1989.

(Amended by Stats. 2002, Ch. 772, Sec. 4. Effective January 1, 2003.)

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California Corporations Code

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