Permanent rule record
California: OAL file 2026-0717-01; 10 CCR sections 260.210, 260.216.7, 260.218.4, 260.230, 260.230.1, 260.231, 260.238, and 260.241
Changes IARD and direct-email filing routes, financial-record authorization submission, SEC-to-state registration sequencing, and expressly prohibited adviser conduct.
Who is affected
California investment advisers, investment-adviser applicants and representatives, SEC-registered advisers making California notices or switching to state registration, and affected broker-dealers
Status and jurisdiction
- Status
- Approved and filed; effective October 1, 2026
- Jurisdiction
- California, Statewide
Operative dates
- DFPI filing, registration-transition, and conduct amendments take effect
Verification history
- Verified September 19, 2026 in the live tracker.
Correction history
No substantive correction is recorded for this rule record.