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 50.15304 - Securities: Commissioner of Corporations
Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(a) Whenever a licensee files with the Commissioner of Corporations an application for qualification pursuant to the Corporate Securities Law of 1968 (Division 1 (commencing with Section 25000), Title 4 of the Corporations Code) to sell any security issued by such licensee, the licensee shall concurrently file with the Commissioner a report containing a copy of such application.
(b) Whenever a licensee files with the Commissioner of Corporations an amendment of an application of the type referred to in Subdivision (a) of this Section, such licensee shall concurrently file with the Commissioner a report containing a copy of such amendment.
(c) Whenever an application of the type referred to in Subdivision (a) of this Section by a licensee is approved or denied, such licensee shall promptly file with the Commissioner a report containing a copy of such approval or denial.
1. Change without regulatory effect amending section and adding new NOTE 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.
