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§ 50.3115. Information Regarding Financial Statements and Reports.

10 CA ADC § 50.3115Barclays Official California Code of Regulations

Barclays California Code of Regulations
Title 10. Investment
Chapter 1. Commissioner of Business Oversight, Division of Financial Institutions
Subchapter 50. Business and Industrial Development Corporations
Article 4. Issuance of License
Subarticle 2. Application
10 CCR § 50.3115
§ 50.3115. Information Regarding Financial Statements and Reports.
Currentness
(a) Provide the following financial statements of the applicant:
(1) Balance sheet as of a date within 30 days before the filing of the application.
(2) If the balance sheet called for in Paragraph (1) of this Subdivision (a) is not as of the end of a fiscal year of the applicant, a balance sheet as of the end of the fiscal year of the applicant next preceding the date of such balance sheet.
(3) Statement of income, a statement of cash flows, and a statement of shareholders' equity for each of the three fiscal years of the applicant next preceding the date of the balance sheet called for in Paragraph (1) of this Subdivision (a) and, if such balance sheet is not as of the end of a fiscal year of the applicant, a statement of income, a statement of cash flows, and a statement of shareholders' equity for the interim period from a statement of the balance sheet called for in Paragraph (2) of this Subdivision (a) to the date of the balance sheet called for in Paragraph (1) of this Subdivision (a).
(b) Provide a copy of each of the last three annual reports of the applicant to its shareholders and a copy of any interim report of the applicant to its shareholders issued since the last annual report.
(c) In case the applicant is required to file reports pursuant to Section 13 of the Securities Exchange Act of 1934 (15 U.S.C. Section 78m), provide a copy of each of the last three such annual reports of the applicant and a copy of each quarterly or current report of the applicant filed since the last annual report.

Credits

Note: Authority cited: Section 31101, Financial Code. Reference: Section 31107, Financial Code.
History
1. Amendment of subsection (a)(3) and new Note filed 4-7-97; operative 4-7-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
This database is current through 5/10/24 Register 2024, No. 19.
Cal. Admin. Code tit. 10, § 50.3115, 10 CA ADC § 50.3115
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