As used in this chapter, the following phrases have the following meanings: (a) âPersonâ means any broker, dealer, municipal securities dealer, investment advisor, or investment firm. (b) âRegulatory agencyâ means the Department of Financial Protection and Innovation, the securities administrators or other similar regulatory authority in any other state, the Securities and Exchange Commission, the Financial Industry Regulatory Authority, the Municipal Securities Rulemaking Board, the Commodity Futures Trading Commission, or any other self-regulatory organization. (c) âState or local governmentâ means the state, any department, agency, board, commission, or authority of the state, or any city, city and county, county, public district, public corporation, authority, agency, board, commission, or other public entity.
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