California Code of Regulations
Title 10 - Investment
Chapter 5 - Insurance Commissioner
Subchapter 4 - Insurer Securities Permits
Article 11 - Reports of Transactions
Section 2611.01 - Report of Transactions Required

Universal Citation: 10 CA Code of Regs 2611.01

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

Reports of Transactions shall be made in duplicate and shall be sworn (or, where so authorized by statute in the place where the verification is made, certified under penalty of perjury) to be true and correct. They shall allege sufficient facts to show the following:

A. The number and amount of each kind of securities sold.

B. The gross proceeds and the net proceeds of such sale.

C. The disposition of such proceeds.

D. Whether conditions of the permit governing the authorized transactions were complied with.

E. In the case of preorganization, soliciting or negotiating permit, the results of the authorized action.

F. Any other specific information required by the permit. (Secs. 844, 843)

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.