Home Table of Contents

§ 50.3125. Information Regarding Assistance in Preparation of Application.

10 CA ADC § 50.3125Barclays 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 § 50.3125
§ 50.3125. Information Regarding Assistance in Preparation of Application.
Currentness
State whether or not the applicant has been assisted by any adviser in preparing the application and, if so, with respect to each such adviser, state:
(a) Name of the adviser.
(b) Name of firm of which the adviser is a member or by which the adviser is employed.
(c) Business address of the adviser.
(d) Specification of parts of the application which the adviser assisted the applicant in preparing.
(e) Amount of fees and description of other compensation which has been paid or is to be paid to the adviser for services rendered or to be rendered in connection with the licensing of the applicant.
(f) Amount and types of securities of the applicant which the adviser and his associates own or propose to own, directly or indirectly, of record or beneficially.

Credits

Note: Authority cited: Section 31101, Financial Code. Reference: Section 31107, Financial Code.
History
1. Amendment of subsection (c) 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, § 50.3125, 10 CA ADC § 50.3125
End of Document