Sections
6 entriesSection 10237Limits the article to the securities-qualification exemption claimed under Corporations Code Section 25102.5 and excludes other exemptions and permits that may be…Section 10238Requires brokers using covered multilender transactions to file notice within 30 days after the first transaction or material change; later servicing agents…Section 10239Limits the effect of this article by providing that it neither expands nor restricts the Commissioner of Financial Protection and Innovation’s jurisdiction…Section 10239.1Limits this article from changing existing agency relationships among parties or restricting brokers’ fiduciary duties. Where those relationships exist, brokers continue to…Section 10239.2Defines “broker” as a broker licensed under the part, “affiliate” by control relationships, and “servicing agent” as a qualifying broker or exempt…Section 10239.3Extends the article and related regulations or orders to a nonbroker who makes or keeps covered transaction records as though that person…