§ 10237 This article applies only to the exemption from securities …
§ 10238 (a) A notice in the following form and containing the following …
§ 10239 The jurisdiction of the Commissioner of Financial Protection and …
§ 10239.1 Nothing in this article shall be construed to change the agency …
§ 10239.2 For the purposes of this article, the following definitions shall …
§ 10239.3 (a) If any person other than a real estate broker makes or keeps …

Terms Used In California Codes > Business and Professions Code > Division 4 > Part 1 > Chapter 3 > Article 6 - Claim of Exemption From Securities Qualification

  • Acquiring district: means a district in which all or a part of a state-aided district or an applicant district has been included. See California Education Code 16150
  • Affidavit: A written statement of facts confirmed by the oath of the party making it, before a notary or officer having authority to administer oaths.
  • animal: includes :

    California Food and Agricultural Code 21701

  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • Bail: Security given for the release of a criminal defendant or witness from legal custody (usually in the form of money) to secure his/her appearance on the day and time appointed.
  • Beneficiary: A person who is entitled to receive the benefits or proceeds of a will, trust, insurance policy, retirement plan, annuity, or other contract. Source: OCC
  • Board: means the State Allocation Board. See California Education Code 16002
  • City: includes "city and county" and "incorporated town" but does not include "unincorporated town" or "village. See California Government Code 20
  • City: includes city and county and "incorporated town" but does not include "unincorporated town" or "village. See California Public Utilities Code 19
  • commission: means the California Transportation Commission. See California Public Utilities Code 161001
  • Commission: means the Public Utilities Commission created by §. See California Public Utilities Code 20
  • committee: means the chief administrative officer, auditor, and treasurer, or any other county employee appointed by the board of supervisors. See California Government Code 29831
  • Conviction: A judgement of guilt against a criminal defendant.
  • County: includes city and county. See California Government Code 19
  • County: includes city and county. See California Public Utilities Code 18
  • County: includes city and county. See California Food and Agricultural Code 29
  • Deed: The legal instrument used to transfer title in real property from one person to another.
  • deed of trust: as used in this part includes "mortgage. See California Business and Professions Code 10028
  • department: means the Department of Transportation. See California Public Utilities Code 161002
  • Department: means the Department of Food and Agriculture. See California Food and Agricultural Code 32
  • Devise: To gift property by will.
  • district: means the Peninsula Rail Transit District. See California Public Utilities Code 160001
  • Donee: The recipient of a gift.
  • Donor: The person who makes a gift.
  • Escrow: Money given to a third party to be held for payment until certain conditions are met.
  • exceptional children: means physically handicapped pupils, pupils with intellectual disabilities, educationally handicapped pupils, multihandicapped pupils, or pupils enrolled in development centers for the handicapped required or allowed to be educated pursuant to Part 30 (commencing with Section 56000). See California Education Code 16191
  • Fiduciary: A trustee, executor, or administrator.
  • Foreclosure: A legal process in which property that is collateral or security for a loan may be sold to help repay the loan when the loan is in default. Source: OCC
  • Gift: A voluntary transfer or conveyance of property without consideration, or for less than full and adequate consideration based on fair market value.
  • Interest rate: The amount paid by a borrower to a lender in exchange for the use of the lender's money for a certain period of time. Interest is paid on loans or on debt instruments, such as notes or bonds, either at regular intervals or as part of a lump sum payment when the issue matures. Source: OCC
  • Liabilities: The aggregate of all debts and other legal obligations of a particular person or legal entity.
  • license: means license, certificate, registration, or other means to engage in a business or profession regulated by this code or referred to in Section 1000 or 3600. See California Business and Professions Code 23.7
  • listing: as used in this part includes, but is not limited to:

    California Business and Professions Code 10027

  • Nolo contendere: No contest-has the same effect as a plea of guilty, as far as the criminal sentence is concerned, but may not be considered as an admission of guilt for any other purpose.
  • Notice: includes all papers and orders required to be served in any proceedings before any court, board, or officer, or when required by law to be served independently of such proceeding. See California Government Code 26660
  • Person: includes any person, firm, association, organization, partnership, limited liability company, business trust, corporation, or company. See California Government Code 17
  • Person: means any individual, partnership, association, corporation, limited liability company, or any organized group of persons whether incorporated or not. See California Food and Agricultural Code 38
  • Personal property: All property that is not real property.
  • Plea: In a criminal case, the defendant's statement pleading "guilty" or "not guilty" in answer to the charges, a declaration made in open court.
  • Private treaty transaction: as used in this division , means the transfer of ownership of cattle or livestock by agreement or contract, at a point other than a destination point. See California Food and Agricultural Code 20026
  • range: means the enclosed or unenclosed lands outside of cities, towns, and villages in this state, whether of the public domain or in private ownership, upon which by custom, license, or otherwise, cattle are kept or permitted to roam and feed. See California Food and Agricultural Code 21851
  • Registered: as used in this article , means endorsed and signed by the county treasurer. See California Government Code 29871
  • secretary: means the Secretary of Transportation. See California Public Utilities Code 161003
  • Secretary: means the Secretary of Food and Agriculture. See California Food and Agricultural Code 35
  • Sell: includes offer for sale, expose for sale, possess for sale, exchange, barter, or trade. See California Food and Agricultural Code 44
  • Spouse: includes "registered domestic partner" as required by §. See California Business and Professions Code 14.2
  • Spouse: includes "registered domestic partner" as required by §. See California Government Code 12.2
  • State: means the State of California, unless applied to the different parts of the United States. See California Government Code 18
  • State: means the State of California, unless applied to the different parts of the United States. See California Business and Professions Code 21
  • State: means the State of California, unless applied to the different parts of the United States. See California Public Utilities Code 17
  • State-aided district: means a district to which a conditional or final apportionment has been made under this chapter. See California Education Code 16150
  • Subdivision: means a subdivision of the section in which that term occurs, unless some other section is expressly mentioned. See California Business and Professions Code 15
  • Subdivision: means a subdivision of the section in which that term occurs unless some other section is expressly mentioned. See California Public Utilities Code 10
  • Subdivision: means a subdivision of the section in which that term occurs unless some other section is expressly mentioned. See California Food and Agricultural Code 49
  • Subdivision: means a subdivision of the section in which the term occurs unless some other section is expressly mentioned. See California Government Code 10
  • transportation corridor: means an area or one or more parcels of land that meets any of the following requirements:

    California Public Utilities Code 161004

  • Trust account: A general term that covers all types of accounts in a trust department, such as estates, guardianships, and agencies. Source: OCC
  • Trustee: A person or institution holding and administering property in trust.
  • Variable Rate: Having a "variable" rate means that the APR changes from time to time based on fluctuations in an external rate, normally the Prime Rate. This external rate is known as the "index." If the index changes, the variable rate normally changes. Also see Fixed Rate.