California Code of Regulations
Title 10 - Investment
Chapter 3 - Commissioner of Financial Protection and Innovation
Subchapter 2 - Corporate Securities
Article 8 - Licensing of Broker-Dealers and Agents
Section 260.211.6 - Notification of Withdrawal: Finder
Universal Citation: 10 CA Code of Regs 260.211.6
Current through Register 2024 Notice Reg. No. 38, September 20, 2024
A finder must notify the Commissioner of Business Oversight within 15 calendar days of the finder withdrawing from engaging in business under the exemption by filing the Statement of Information form in subsection (g) of Section 260.211.4 of these rules with the Commissioner in accordance with the form instructions.
1. New section filed 6-21-2017; operative 6-21-2017 pursuant to Government Code section 11343.4(b)(3) (Register 2017, No. 25).
Note: Authority cited: Section 25206.1, Corporations Code. Reference: Section 25206.1, Corporations Code.
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