GroundRules
CORP § 25213.3
Where this section sits in the code
- Corporations Code - CORP
- 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.]
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.
Collected 2026-09-14T05:56:33Z. Source file · JSON