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§ 80.4108. Information Regarding Equity Security Owners.

10 CA ADC § 80.4108Barclays Official California Code of Regulations

Barclays California Code of Regulations
Title 10. Investment
Chapter 1. Commissioner of Business Oversight, Division of Financial Institutions
Subchapter 80. Money Transmission
Article 5. Issuance of License
Subarticle 2. Application
10 CCR § 80.4108
§ 80.4108. Information Regarding Equity Security Owners.
Currentness
In case the applicant is not a reporting company and any person is known to the applicant to be a 10 percent (including associates) equity security owner of the applicant, or in case the applicant has a parent which is not a reporting company and any person is known to the applicant to be a 10 percent (including associates) equity security owner of such parent, provide the following information with respect to each such 10 percent (including associates) equity security owner:
(a) Name.
(b) Business address.
(c) Title of any position which the person holds with the applicant or with a parent of the applicant.
(d) Amount and types of equity securities of the applicant or of a parent of the applicant owned by the person and the person's associates.

Credits

Note: Authority cited: Sections 321, 334 and 2032, Financial Code. Reference: Section 2032, Financial Code.
History
1. Amendment of Note filed 8-11-2015; operative 10-1-2015 (Register 2015, No. 33).
This database is current through 5/10/24 Register 2024, No. 19.
Cal. Admin. Code tit. 10, § 80.4108, 10 CA ADC § 80.4108
End of Document