§ 50.15303. Securities: Securities and Exchange Commission.
10 CA ADC § 50.15303Barclays Official California Code of Regulations
10 CCR § 50.15303
§ 50.15303. Securities: Securities and Exchange Commission.
(a) Whenever a licensee files with the Securities and Exchange Commission a registration statement pursuant to the Securities Act of 1933 or a notification pursuant to Regulation A, E, or F of the Securities and Exchange Commission with respect to the offer or sale of any security issued by such licensee, the licensee shall concurrently file with the Commissioner a report containing a copy of such registration statement or of such notification, as the case may be.
(b) Whenever a licensee files with the Securities and Exchange Commission a registration statement, report, or proxy statement pursuant to the Securities Exchange Act of 1934, such licensee shall concurrently file with the Commissioner a report containing a copy of such registration statement, report, or proxy statement, as the case may be.
Credits
Note: Authority cited: Section 31101, Financial Code. Reference: Section 31506, Financial Code.
History
1. Amendment of subsection (b) and new Note filed 4-7-97; operative 4-7-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
2. Change without regulatory effect amending section filed 8-19-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
This database is current through 5/10/24 Register 2024, No. 19.
Cal. Admin. Code tit. 10, § 50.15303, 10 CA ADC § 50.15303
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