California Code of Regulations
Title 10 - Investment
Chapter 3 - Commissioner of Financial Protection and Innovation
Subchapter 9 - Escrow Agents
Article 3 - Bonds
Section 1726 - Notification of Required Membership Fees to Escrow Agents' Fidelity Corporation and Personnel
Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(a) The Commissioner shall be notified in writing by the Escrow Agents' Fidelity Corporation of the escrow agent's payment to the corporation of the required membership fees for those escrow agents subject to membership pursuant to subdivisions (a) and (c) of Section 17312 of the Financial Code and the escrow agent shall notify the Commissioner, on the form set forth in subdivision (b) furnished by the Commissioner, the names of any officer, director, trustee, employee or other person directly or indirectly compensated by the escrow agent before allowing the person in the regular discharge of his/her duties to have access to moneys or negotiable securities belonging to or in the possession of the escrow agent, or to draw checks upon the escrow agent or the trust funds of the escrow agent.
(b) The following form shall be used to notify the Commissioner pursuant to subsection (a):
Fee: $10.00 + DOJ
Noncriminal Applicant
Fingerprint Fee
Receipt No. __________
STATE OF CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT
320 West 4th Street, Suite 750
Los Angeles, California 90013-1105
(213) 576-7690
NOTICE OF OFFICERS, DIRECTORS, TRUSTEES, EMPLOYEES OR OTHER PERSONS DIRECTLY OR INDIRECTLY COMPENSATED BY ESCROW AGENTS
OFFICIAL USE ONLY
LAST NAME __________
Date submitted CII: __________
Applicant I.D. # __________
PLEASE PRINT OR TYPE
| ___________________________ | File No. ___________________________ | |
| Name of Company |
ADDRESS OF MAIN OFFICE:
| ___________________________ | |||
| Street | City | State | ZIP Code |
___________________________
EMPLOYING BRANCH OFFICE:
APPLICANT'S NAME: ______________________________Last______________________________First______________________________Middle
POSITION HELD OR TO BE HELD:
___________________________
HOME ADDRESS:
___________________________
| ___________________________ | |||
| Street | City | State | ZIP Code |
DATE OF BIRTH: ____________________Month____________________Day__________Year PLACE OF BIRTH: ______________________________
___________________________
DRIVER'S LICENSE NUMBER:
HEIGHT: ____________________ WEIGHT: ____________________ SEX: ____________________ COLOR OF EYES: ____________________
COLOR OF HAIR: ____________________
* Fees should include the Department of Business Oversight's filing fee of ($10.00) and the fee charged by the Department of Justice (Section 11105, Penal Code) for processing Noncriminal Applicant Fingerprints.
(c) The fee for filing a notice pursuant to subsection (b) of this section is $10.00 for each notice plus the fee charged by the Department of Justice (Section 11105, Penal Code) for processing fingerprints and certain information provided by the applicant on the form.
(d) If the fingerprints of an individual named in a notice filed pursuant to subsection (b) of this section are not on file with the Commissioner, the escrow agent shall file with the notice fingerprint information pursuant to California Penal Code Section 11077.1 for such individual. Information as to whether or not an individual's fingerprints are on file with the Commissioner may be obtained from any office of the Commissioner. Upon filing the fingerprints of such person, an escrow agent shall reimburse the Department of Business Oversight the actual amount then currently charged by the Department of Justice for processing the fingerprints.
1. Change
without regulatory effect of subsection (a) filed 3-27-86; effective thirtieth
day thereafter (Register 86, No. 13). For prior history, see Register 85, No.
12.
2. Change without regulatory effect pursuant to section
100(b)(3), title
1, California Code of Regulations filed 12-15-89; operative 1-14-90 (Register
90, No. 1).
3. Change without regulatory effect amending subsection
(b) filed 4-26-90 pursuant to section
100, title 1, California Code of
Regulations. Printing delayed due to numerical error (Register 90, No.
41).
4. Change without regulatory effect amending subsections (b)
and (c) filed 4-26-90 pursuant to section
100, title 1, California Code of
Regulations (Register 90, No. 41).
5. Editorial correction of
printing error in subsection (a), form in subsection (b), and HISTORY 4
(Register 91, No. 36).
6. Editorial correction of form in subsection
(b) (Register 95, No. 12).
7. Change without regulatory effect
amending form filed 5-24-99 pursuant to section
100, title 1, California Code of
Regulations (Register 99, No. 22).
8. Amendment of section and NOTE
filed 7-21-2003; operative 7-21-2003 pursuant to Government Code section
11343.4
(Register 2003, No. 30).
9. Change without regulatory effect
amending subsection (d) and amending NOTE filed 11-23-2005 pursuant to section
100, title 1, California Code of
Regulations (Register 2005, No. 47).
10. Change without regulatory
effect amending form within subsection (b) and subsection (d) filed 8-13-2014
pursuant to section
100, title 1, California Code of
Regulations (Register 2014, No. 33).
Note: Authority cited: Sections 17203.1 and 17400, Financial Code. Reference: Sections 17203.1, 17207, 17209, 17209.1 and 17312, Financial Code; and Section 11077.1, Penal Code.
