Laws and Regulations

The Department is charged with administering the laws and regulations which apply to its licensees or registrants. Those laws are generally separated into divisions of the Corporations Code or the Financial Code which apply to each specific type of licensee or registrant. The Commissioner of Corporations also promulgated regulations to supplement those laws. The Corporations Code, the Financial Code and the Regulations of the Commissioner of Corporations may be accessed through the links provided on this page.