California Code of Regulations
Title 10 - Investment
Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions
Subchapter 50 - Business and Industrial Development Corporations
Article 14 - Reports
Subarticle 4 - Other Reports
Section 50.15303 - Securities: Securities and Exchange Commission

Universal Citation: 10 CA Code of Regs 50.15303

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

(a) Whenever a licensee files with the Securities and Exchange Commission a registration statement pursuant to the Securities Act of 1933 or a notification pursuant to Regulation A, E, or F of the Securities and Exchange Commission with respect to the offer or sale of any security issued by such licensee, the licensee shall concurrently file with the Commissioner a report containing a copy of such registration statement or of such notification, as the case may be.

(b) Whenever a licensee files with the Securities and Exchange Commission a registration statement, report, or proxy statement pursuant to the Securities Exchange Act of 1934, such licensee shall concurrently file with the Commissioner a report containing a copy of such registration statement, report, or proxy statement, as the case may be.

(c) Whenever a licensee files with the Securities and Exchange Commission an amendment of any document referred to in Subdivision (a) or (b) of this Section, such licensee shall concurrently file with the Commissioner a report containing a copy of such amendment.

1. Amendment of subsection (b) and new NOTE filed 4-7-97; operative 4-7-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
2. Change without regulatory effect amending section filed 8-19-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).

Note: Authority cited: Section 31101, Financial Code. Reference: Section 31506, Financial Code.

Disclaimer: These regulations may not be the most recent version. California may have more current or accurate information. We make no warranties or guarantees about the accuracy, completeness, or adequacy of the information contained on this site or the information linked to on the state site. Please check official sources.
This site is protected by reCAPTCHA and the Google Privacy Policy and Terms of Service apply.