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§ 260.241.5. Notice of Complaint.

10 CA ADC § 260.241.5Barclays Official California Code of Regulations

Barclays California Code of Regulations
Title 10. Investment
Chapter 3. Commissioner of Financial Protection and Innovation (Refs & Annos)
Subchapter 2. Corporate Securities (Refs & Annos)
Article 11. General Provisions Relating to Agents, Broker-Dealers and Investment Advisers
10 CCR § 260.241.5
§ 260.241.5. Notice of Complaint.
Currentness
Each licensed broker-dealer and each licensed investment adviser who has filed a complaint against any of its partners, officers or, directors or, agents employed in California or associated persons (in the case of an investment adviser) with any law enforcement agency, any other regulatory agency having jurisdiction over the securities industry, or with any bonding company regarding any loss arising from alleged acts of such person, shall send a copy of such complaint to the Commissioner, within 10 days following its filing with such other agency or bonding company.

Credits

Note: Authority cited: Sections 25241 and 25610, Corporations Code. Reference: Section 25241, Corporations Code.
History
1. Editorial correction adding Note filed 4-6-83 (Register 83, No. 15).
2. Amendment filed 1-7-88; operative 2-6-88 (Register 88, No. 4).
This database is current through 5/3/24 Register 2024, No. 18.
Cal. Admin. Code tit. 10, § 260.241.5, 10 CA ADC § 260.241.5
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