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§ 80.8204. Information Regarding Eligible Securities.

10 CA ADC § 80.8204Barclays 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 9. Reports
Subarticle 3. Quarterly Reports
10 CCR § 80.8204
§ 80.8204. Information Regarding Eligible Securities.
Currentness
(a) State whether or not the licensee complied with the provisions of Financial Code Section 33567 at all times during the quarter, and, if not, describe the circumstances.
(b) Provide a statement of the eligible securities owned by the licensee as of the end of the quarter, showing the total value of such eligible securities, as determined in accordance with Financial Code Section 33560(g), and containing the following information with respect to each eligible security:
(1) Identify the security, including the name of the issuer, the type of the security, and such other information as may be necessary to distinguish the security from other securities issued by the same issuer.
(2) State the value of the security, as determined in accordance with Financial Code Section 33560(g).
(3) In case the qualification of the security as an eligible security depends upon the assignment of an eligible rating by an eligible by an eligible securities rating service, state the rating assigned to the security by an eligible securities rating service and identify such eligible securities rating service.
(c) In case any of the eligible securities included in the statement called for in Subdivisions (b) of this Section is owned of record by a documented nominee of the licensee which is not listed as such in the current edition of the Nominee List published by the American Society of Corporate Secretaries, Inc., state the name of such documented nominee.

Credits

Note: Authority cited: Section 33202, Financial Code. Reference: Sections 33221 and 33902, Financial Code.
This database is current through 5/3/24 Register 2024, No. 18.
Cal. Admin. Code tit. 10, § 80.8204, 10 CA ADC § 80.8204
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