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§ 260.242. Surrender of Certificate as a Broker-Dealer or Investment Adviser.

10 CA ADC § 260.242BARCLAYS OFFICIAL CALIFORNIA CODE OF REGULATIONS

Barclays Official California Code of Regulations Currentness
Title 10. Investment
Chapter 3. Commissioner of Business Oversight, Division of Corporations
Subchapter 2. Corporate Securities
Article 11. General Provisions Relating to Agents, Broker-Dealers and Investment Advisers (Refs & Annos)
10 CCR § 260.242
§ 260.242. Surrender of Certificate as a Broker-Dealer or Investment Adviser.
(a) An application to surrender a certificate as a broker-dealer shall be filed on Form BDW. Each licensed broker-dealer that is a member of the Financial Industry Regulatory Authority shall file Form BDW through the Central Registration Depository in accordance with its procedures for transmission to the Commissioner. All other broker-dealers shall file Form BDW directly with the Commissioner.
(b) An application to surrender a certificate as an investment adviser shall be filed on Form ADV-W in accordance with the instructions in Form ADV-W. Form ADV-W shall be filed with the Investment Adviser Registration Depository (IARD) in accordance with its procedures for transmission to the Commissioner.
Note: Authority cited: Section 25610, Corporations Code. Reference: Sections 25231, 25242, 25612.3 and 25612.5, Corporations Code.
HISTORY
1. Amendment of form filed 5-14-69; effective thirtieth day thereafter (Register 69, No. 20).
2. Amendment filed 3-1-74; effective thirtieth day thereafter (Register 74, No. 9).
3. Amendment of Items 12, 15 and 16 filed 11-14-78; effective thirtieth day thereafter (Register 78, No. 45).
4. Amendment of Item 12 filed 11-29-79 as an emergency; designated effective 1-1-80. Certificate of Compliance included (Register 79, No. 48).
5. Editorial correction of Item 9 (Register 80, No. 4).
6. Repealer and new section filed 1-3-89; operative 2-1-89 (Register 89, No. 2).
7. Change without regulatory effect amending certification filed 9-25-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 39).
8. Repealer and new section and amendment of Note filed 3-4-2003; operative 4-3-2003 (Register 2003, No. 10).
9. Amendment of section and Note filed 3-6-2007; operative 4-5-2007 (Register 2007, No. 10).
10. Amendment of subsection (a) filed 11-10-2009; operative 12-10-2009 (Register 2009, No. 46).
This database is current through 10/16/20 Register 2020, No. 42
10 CCR § 260.242, 10 CA ADC § 260.242
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