27000. Unless the provision or the context otherwise indicates, and
except as expressly otherwise provided in this chapter, words used
in this division have the meanings prescribed in Part 1 (commencing
with Section 25000) of the Corporate Securities Law.
27001. As used in this division "security" includes all of the
things enumerated in Section 25019 and also includes shares, stock,
and investment certificates as defined in the Savings Association
Law.
27002. (a) As used in this division, "individual" includes every
natural person, domestic or foreign private corporation, nonprofit
corporation, unincorporated association, company, partnership of
whatever kind, syndicate, joint stock company, trustee, protective
committee, depositors' league, and other similar organization however
described.
(b) As used in this division, "individual" does not include any of
the following persons:
(1) Any licensed practicing attorney rendering or performing
services in connection with the practice of law.
(2) Any person holding a broker-dealer's or investment adviser's
certificate then in effect issued by the commissioner, rendering or
performing services as such.
(3) Any holder of a permit then in effect, granted by the
commissioner under the Corporate Securities Law, permitting the issue
of certificates of deposit.
(4) Any securities depository as defined in Section 30004 of the
Financial Code, which is licensed under Section 30200 of the
Financial Code or exempted from licensing thereunder by Section 30005
or 30006 of the Financial Code.
(5) Any broker licensed by the Real Estate Commissioner of this
state rendering or performing services with respect to securities, if
the person would not be subject to the broker-dealer certification
requirements for effecting transactions in the securities.
(6) Any security owner or holder who, without compensation of any
kind, induces or attempts to induce, other security holders or owners
of the same issuer into entering into agreements with persons who
are excluded from "individual" by virtue of paragraphs (1) to (5),
inclusive.
27003. If any provision of this division, or the application
thereof to any person or circumstance, is held invalid, the remainder
of this division, or the application of such provision to other
persons or circumstances, shall not be affected thereby.
27000. Unless the provision or the context otherwise indicates, and
except as expressly otherwise provided in this chapter, words used
in this division have the meanings prescribed in Part 1 (commencing
with Section 25000) of the Corporate Securities Law.
27001. As used in this division "security" includes all of the
things enumerated in Section 25019 and also includes shares, stock,
and investment certificates as defined in the Savings Association
Law.
27002. (a) As used in this division, "individual" includes every
natural person, domestic or foreign private corporation, nonprofit
corporation, unincorporated association, company, partnership of
whatever kind, syndicate, joint stock company, trustee, protective
committee, depositors' league, and other similar organization however
described.
(b) As used in this division, "individual" does not include any of
the following persons:
(1) Any licensed practicing attorney rendering or performing
services in connection with the practice of law.
(2) Any person holding a broker-dealer's or investment adviser's
certificate then in effect issued by the commissioner, rendering or
performing services as such.
(3) Any holder of a permit then in effect, granted by the
commissioner under the Corporate Securities Law, permitting the issue
of certificates of deposit.
(4) Any securities depository as defined in Section 30004 of the
Financial Code, which is licensed under Section 30200 of the
Financial Code or exempted from licensing thereunder by Section 30005
or 30006 of the Financial Code.
(5) Any broker licensed by the Real Estate Commissioner of this
state rendering or performing services with respect to securities, if
the person would not be subject to the broker-dealer certification
requirements for effecting transactions in the securities.
(6) Any security owner or holder who, without compensation of any
kind, induces or attempts to induce, other security holders or owners
of the same issuer into entering into agreements with persons who
are excluded from "individual" by virtue of paragraphs (1) to (5),
inclusive.
27003. If any provision of this division, or the application
thereof to any person or circumstance, is held invalid, the remainder
of this division, or the application of such provision to other
persons or circumstances, shall not be affected thereby.
27000. Unless the provision or the context otherwise indicates, and
except as expressly otherwise provided in this chapter, words used
in this division have the meanings prescribed in Part 1 (commencing
with Section 25000) of the Corporate Securities Law.
27001. As used in this division "security" includes all of the
things enumerated in Section 25019 and also includes shares, stock,
and investment certificates as defined in the Savings Association
Law.
27002. (a) As used in this division, "individual" includes every
natural person, domestic or foreign private corporation, nonprofit
corporation, unincorporated association, company, partnership of
whatever kind, syndicate, joint stock company, trustee, protective
committee, depositors' league, and other similar organization however
described.
(b) As used in this division, "individual" does not include any of
the following persons:
(1) Any licensed practicing attorney rendering or performing
services in connection with the practice of law.
(2) Any person holding a broker-dealer's or investment adviser's
certificate then in effect issued by the commissioner, rendering or
performing services as such.
(3) Any holder of a permit then in effect, granted by the
commissioner under the Corporate Securities Law, permitting the issue
of certificates of deposit.
(4) Any securities depository as defined in Section 30004 of the
Financial Code, which is licensed under Section 30200 of the
Financial Code or exempted from licensing thereunder by Section 30005
or 30006 of the Financial Code.
(5) Any broker licensed by the Real Estate Commissioner of this
state rendering or performing services with respect to securities, if
the person would not be subject to the broker-dealer certification
requirements for effecting transactions in the securities.
(6) Any security owner or holder who, without compensation of any
kind, induces or attempts to induce, other security holders or owners
of the same issuer into entering into agreements with persons who
are excluded from "individual" by virtue of paragraphs (1) to (5),
inclusive.
27003. If any provision of this division, or the application
thereof to any person or circumstance, is held invalid, the remainder
of this division, or the application of such provision to other
persons or circumstances, shall not be affected thereby.
