California Code of Regulations
Title 10 - Investment
Chapter 5 - Insurance Commissioner
Subchapter 1 - Production of Insurance
Article 6.5 - Prelicensing and Continuing Education
Section 2188.4 - Maintenance of Records
Current through Register 2024 Notice Reg. No. 38, September 20, 2024
(a) All providers shall maintain completed instructor/subject matter expert qualification information on Form LIC 446-4 (Prelicensing/Continuing Education Program Instructor/Subject Matter Expert Qualification), as set forth in Section 2188.50 and shall maintain documentation as set forth in Section 2188.1(b).
(b) All providers shall maintain records of enrollments, provider rosters, examination answer sheets, grades of students and review question responses. Prelicensing providers shall also maintain student residence addresses, telephone numbers, and the student's birth date shown in mm/dd/yyyy and the last four digits of the student's social security numbers. Online prelicensing student affidavits shall be maintained by providers as required by Section 2188.5.5. Electronic records of online prelicensing student affidavits may be accepted. All records shall be maintained in a manner that protects the identity and non-public personal information of the student.
(c) All providers shall maintain attendance records on forms approved by the Commissioner pursuant to Section 2188.5(b).
(d) Records of attendance in accordance with this Section shall be maintained by the provider (including the local chapter of educational entity) for classroom programs referred to in Section 1749.4 of the California Insurance Code.
(e) Provider records are to be maintained for a period of five (5) years and must be made available to the Commissioner for inspection and copying immediately upon request. All records of providers with an office in this State, or which are otherwise doing business in this State, shall be maintained at a location within the State unless Form LIC 446-32 (Prelicensing/Continuing Education Provider Stipulation to Maintain Records Outside of California), as set forth in Section 2188.50, is submitted by the provider director. Failure to comply with this subsection shall be grounds for rescission of a provider's certification.
(f) Providers shall maintain records such as bank statements, ledgers, journals, receipt books, invoices, and checks, which establish an audit trail of all fees collected from and refunded to students for prelicensing and continuing education courses.
(g) Providers shall maintain copies of all advertisements, mailers and solicitations used in connection with the advertising or offering of prelicensing and continuing education courses to the public. Providers are required to retain such items for a period of at least two (2) years, unless notified by a representative of the Commissioner that a longer retention period is required.
1. New section
filed 4-15-93; operative 5-17-93 (Register 93, No. 16).
2. Repealer and
new section filed 8-23-96; operative 9-22-96 (Register 96, No. 34).
3.
Amendment of subsections (a)-(b) and (d)-(e) and NOTE filed 2-23-2010; operative
3-25-2010 (Register 2010, No. 9).
4. Amendment of section and NOTE filed
10-22-2014; operative 2-19-2015 pursuant to Government Code section
11343.4(b)(2)
(Register 2014, No. 43).
Note: Authority cited: Section 1749.7, Insurance Code. Reference: Sections 1749, 1749.1, 1749.3, 1749.31, 1749.32, 1749.33, 1749.4, 1749.5, 1749.8, 1749.85, 10113.2(b)(1)(A) and 10234.93(a)(4), Insurance Code.
