California § 25301. 25301. (Amended by Stats. 1997, Ch. 391, Sec. 30.)

California Statutes

§ 25301. — 25301. (Amended by Stats. 1997, Ch. 391, Sec. 30.)

California·Code CORP Corporations Code - CORP·Div. 1.·Title 4. DIVISION 1. CORPORATE SECURITIES LAW OF 1968·Part 4. PART 4. ADVERTISING SECURITIES

All advertisements published by any broker-dealer that are exempted from filing by paragraph (1) or paragraph (6) of subdivision (b) of Section 25300 shall be approved prior to use by signature or initial of an officer, partner, or responsible supervisory official of the broker-dealer and the signed or initialed copy shall be retained by the broker-dealer in an appropriate file for a period of three years, subject to examination by the commissioner.

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All advertisements published by any broker-dealer that are exempted from filing by paragraph (1) or paragraph (6) of subdivision (b) of Section 25300 shall be approved prior to use by signature or initial of an officer, partner, or responsible supervisory official of the broker-dealer and the signed or initialed copy shall be retained by the broker-dealer in an appropriate file for a period of three years, subject to examination by the commissioner.

California § 25301. (25301. (Amended by Stats. 1997, Ch. 391, Sec. 30.)) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.

Legislative History

Amended by Stats. 1997, Ch. 391, Sec. 30. Effective January 1, 1998.

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