Government Code section 5970

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.

Source: Section 5970, https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV§ionNum=5970. (accessed Apr. 24, 2025).

5970
5971

Last Updated

Apr. 24, 2025

§ 5970’s source at ca.gov

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Location: https://california.public.law/codes/government_code_section_5970

Original Source: Section 5970, https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV§ionNum=5970. (last accessed Apr. 24, 2025).