Cal. Code Regs. tit. 10 § 260.216.4.1

Current through Register 2024 Notice Reg. No. 36, September 6, 2024

Section 260.216.4.1 - Disclosure of Compensation from Financial Planning Activities

The phrase, "manipulative, deceptive, or other fraudulent scheme or device, or contrivance," as used in subdivision (a) of Section 25216 of the Code, is hereby defined to include the failure of any broker-dealer or agent to deliver to a financial planning customer a notice in writing at the time and containing the information required by Section 260.235.2 of these rules.

Cal. Code Regs. Tit. 10, § 260.216.4.1

1. New section filed 12-20-85; effective thirtieth day thereafter (Register 85, No. 51).

Note: Authority cited: Section 25610, Corporations Code. Reference: Section 25216, Corporations Code.

1. New section filed 12-20-85; effective thirtieth day thereafter (Register 85, No. 51).