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§ 280.153. Notice of Officers, Directors, Partners, “Control” Persons, Managers, Members, Trust...

10 CA ADC § 280.153BARCLAYS OFFICIAL CALIFORNIA CODE OF REGULATIONS

Barclays Official California Code of Regulations Currentness
Title 10. Investment
Chapter 3. Commissioner of Financial Protection and Innovation
Subchapter 2.3. Capital Access Companies
Article 2. Application for Licensure and Related Forms
10 CCR § 280.153
§ 280.153. Notice of Officers, Directors, Partners, “Control” Persons, Managers, Members, Trustees and Employees.
(a) The notice to accompany the filing of an individual's fingerprints required in the following circumstances shall be made on the form set forth in subsection (b) of this rule:
(1) In compliance with the requirements of Exhibit C to Item 10 of the application for license (Rule 280.151);
(2) In compliance with the requirements for filing an application for change of control (Rule 280.250);
(b) The notice shall be made on the following form:
Note: Authority cited: Section 28951, Corporations Code. Reference: Sections 28104(a)(1), 28152(d), 28152(e) and (f), 28153 and 28552, Corporations Code.
HISTORY
1. New section filed 6-24-99; operative 7-1-99 pursuant to Government Code section 11343.4(d) (Register 99, No. 26).
2. Change without regulatory effect amending form within subsection (b) filed 8-13-2014 pursuant to section 100, title 1, California Code of Regulations (Register 2014, No. 33).
This database is current through 7/29/22 Register 2022, No. 30
10 CCR § 280.153, 10 CA ADC § 280.153
End of Document