California And The Certification Of Stock Exchanges


Currently, there are 15 national securities exchanges registered with the Securities and Exchange Commission pursuant to Section 6(a) of the Securities Exchange Act of 1934.[1] In addition, six exchanges are registered with the SEC pursuant to Section 6(g) of the Exchange Act for the purpose of trading security futures.[2]

These exchanges may be registered national securities exchanges but that does not mean that the California Commissioner of Corporations has certified all of them under the Corporate Securities Law of 1968. Since the exchanges are regulated by the SEC, not the DOC, does it matter whether an exchange has been certified by the Commissioner? The answer is yes. In upcoming posts, I’ll explain why. The following table summarizes the certification status of the 15 national securities exchanges registered with the SEC under Section 6(a) and whether securities listed or authorized for listing on those exchanges are covered securities.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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