Corp. Code, § 25612.3 · Part 7. ADMINISTRATION
Corp. Code, § 25612.3
Text — As published in the Legislative Counsel's database, tables dated October 18, 2026 (pubinfo_2025.zip)
Unless otherwise provided by rule, the commissioner shall require the use of the following forms:
(a) Form BD (Uniform Application for Broker-Dealer Registration) for a broker-dealer application.
(b) Form ADV (Uniform Application for Investment Adviser Registration) for an investment adviser application.
(c) Form BDW (Uniform Request for Broker-Dealer Withdrawal) for withdrawing from licensure as a broker-dealer.
(d) Form ADV-W (Notice of Withdrawal from Registration as an Investment Adviser) for withdrawing from licensure as an investment adviser.
(e) Form U4 (Uniform Application for Securities Industry Registration or Transfer) for the reporting of an agent of a broker-dealer or an investment adviser representative or associated person of an investment adviser.
(f) Form U5 (Uniform Termination Notice for Securities Industry Registration) for the reporting of the termination of an agent of a broker-dealer or an investment adviser representative or associated person of an investment adviser.
Notes and commentary — not statutory text
History
Amended by Stats. 2019, Ch. 143, Sec. 51. (SB 251) Effective January 1, 2020.
Source of truth
- Edition
- As published in the Legislative Counsel's database, tables dated October 18, 2026 (pubinfo_2025.zip)
- Official file
- https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=CORP§ionNum=25612.3.
- Text hash
- sha256 775bc851c20c9eca63900996b092a40b83f9c1da0654083b8b416a9cd35fa02f
- Composed by
- compose_ca.py 2026-10-22: the Legislative Counsel's CAML content files read by a tokenizer (caml_readers.reader_a); an independent xml.etree reading (caml_readers.reader_b) agrees on every section
Procedural information only. Not legal advice and not a substitute for the advice of an attorney. Confirm the current text with the official publisher before relying on it.