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§ 260.211.6. Notification of Withdrawal: Finder.

10 CA ADC § 260.211.6BARCLAYS 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. Corporate Securities
Article 8. Licensing of Broker-Dealers and Agents (Refs & Annos)
10 CCR § 260.211.6
§ 260.211.6. Notification of Withdrawal: Finder.
A finder must notify the Commissioner of Business Oversight within 15 calendar days of the finder withdrawing from engaging in business under the exemption by filing the Statement of Information form in subsection (g) of Section 260.211.4 of these rules with the Commissioner in accordance with the form instructions.
Note: Authority cited: Section 25206.1, Corporations Code. Reference: Section 25206.1, Corporations Code.
HISTORY
1. New section filed 6-21-2017; operative 6-21-2017 pursuant to Government Code section 11343.4(b)(3) (Register 2017, No. 25).
This database is current through 5/6/22 Register 2022, No. 18
10 CCR § 260.211.6, 10 CA ADC § 260.211.6
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