§ 5970
111 words·~1 min read·
/ca/government-code/5970A research copy — for the controlling text, always check the official state or federal source. Not legal advice.
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.
(c)“State or local government” means the state, any department, agency, board, commission, or authority of the state, or any city, city and county, county, public district, public corporation, authority, agency, board, commission, or other public entity.