TITLE 4. SECURITIES 25000-31516›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 3. Licensing and Notice Filing Requirements of Investment Adviser Representatives and Investment Advisers 25230-25238

§ 25238

California Corporations Code · 2020-11 edition · updated 2026-10-04 · California

No investment adviser licensed under this chapter and no natural person associated with the investment adviser shall engage in investment advisory activities, or attempt to engage in investment advisory activities, in this state in contradiction of such rules as the commissioner may prescribe designed to promote fair, equitable and ethical principles.

(Added by Stats. 1986, Ch. 698, Sec. 4.)

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California Corporations Code

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