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§ 260.211.7. Maintenance of Records.

10 CA ADC § 260.211.7BARCLAYS OFFICIAL CALIFORNIA CODE OF REGULATIONS

Barclays Official California Code of Regulations Currentness
Title 10. Investment
Chapter 3. Commissioner of Financial Protection and Innovation
Subchapter 2. Corporate Securities
Article 8. Licensing of Broker-Dealers and Agents (Refs & Annos)
10 CCR § 260.211.7
§ 260.211.7. Maintenance of Records.
(a) A finder must make and keep the written agreement and any other records for the time period specified in Section 25206.1, subdivision (f), of the Code.
(b) The records must be maintained at the location designated by the finder in the Statement of Information.
(c) The records are subject at any time to examination by the Commissioner of Business Oversight as the Commissioner deems necessary or appropriate in the public interest or for the protection of investors.
(d) The prohibition against fraudulent and misleading acts in Section 25401 of the Code applies to a finder.
Note: Authority cited: Section 25206.1, Corporations Code. Reference: Sections 25206.1 and 25401, Corporations Code.
HISTORY
1. New section filed 6-21-2017; operative 6-21-2017 pursuant to Government Code section 11343.4(b)(3) (Register 2017, No. 25).
This database is current through 5/6/22 Register 2022, No. 18
10 CCR § 260.211.7, 10 CA ADC § 260.211.7
End of Document