§ 1603. Finder Registration: Form.
10 CA ADC § 1603Barclays Official California Code of RegulationsEffective: July 1, 2022
Barclays California Code of Regulations
Title 10. Investment
Chapter 3. Commissioner of Financial Protection and Innovation (Refs & Annos)
Subchapter 6. California Financing Law (Refs & Annos)
Article 14. Pilot Program for Increased Access to Responsible Small Dollar Loans
Subarticle 2. Application and Registration
Effective: July 1, 2022
10 CCR § 1603
§ 1603. Finder Registration: Form.
(b) Within 15 calendar days from the receipt of the finder registration form, the Commissioner shall inform the licensee in writing that the registration is complete and that use of the finder by the licensee is accepted or rejected, and if rejected, the reason(s) for the rejection; or that the registration is deficient and specify what information is required to complete the registration. A licensee shall not use an unregistered finder or a finder that has been rejected by the Commissioner.
NOTIFICATION TO COMMISSIONER OF FINANCIAL PROTECTION AND INNOVATION OF FINDER REGISTRATION
(Required under Section 22375 of the Financial Code) Instructions:
• The finder registration form may be obtained from the following offices of the Department of Financial Protection and Innovation and from the Web site at www.dfpi.ca.gov. The office locations are:
320 W. 4th Street, Suite 750 | Los Angeles, CA 90013 | |
One Sansome Street, Suite 600 | San Francisco, CA 94104 | |
2101 Arena Blvd | Sacramento, CA 95834 | |
1350 Front Street, Room 2034 | San Diego, CA 92101 |
• Questions regarding completing and filing a finder registration form should be directed to 213-576-7690.
• Completed finder registration forms must be filed with the Los Angeles Office.
• Within 15 calendar days from the receipt of the finder registration form, the Commissioner of Financial Protection and Innovation (Commissioner) shall inform the licensee in writing, that the registration is complete and the finder is accepted to participate in the program or rejected, and if rejected, the reason(s) for rejection; or that the registration is deficient and specify what information is required to complete the registration.
Government Entity | Finder's License, Permit, or Registration Number | Status of Finder's License, Permit, or Registration | Expiration Date of Finder's License, Permit, or Registration |
Government Entity | Date of Disciplinary Action Against the Finder | Status of Disciplinary Action | Reason for Disciplinary Action |
Name:
Address:
Telephone Number:
Email:
16. Complete Exhibit A identifying the business addresses of all locations at which the finder will perform the services described in Section 22372, subdivisions (a) and (b), of the Financial Code. Any subsequent locations or changes to locations or other information contained in the finder registration form must be reported to the Commissioner in accordance with Title 10 of the California Code of Regulations, Section 1600.
17. Complete Exhibit B providing the name, title, physical business location, telephone number, and email of each employee of the finder who is responsible for that finder's finding activities on behalf of the licensee at each of its locations. If different employees are responsible for different locations, provide the name and contact information of the employee responsible for each location. If one employee is responsible for the finder's activities, provide the name and contact information of the employee for all locations.
Yes
(If yes, please provide the licensing details for finders performing additional services, as specified and where indicated in Exhibit C.)
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
No
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
The undersigned, on behalf of the licensee, acknowledges that this registration and all exhibits thereto are subject to public inspection pursuant to Section 250.9.1, Chapter 3, Title 10, California Code of Regulations. A request for confidentiality of certain documents may be requested pursuant to Section 250.10. If a request for confidential treatment is granted (or denied), the person making such request will be notified in writing.
I declare under penalty of perjury that I have read the foregoing registration, including all exhibits attached thereto, or filed therewith, and know the contents thereof, and that the statements therein are true and correct.
(Licensee) | |
Executed at |
(City, County, and State) | (Signature of Declarant) |
Date | |
(Typed Name of Declarant) | |
(Title) |
EXHIBIT A
Business addresses of all locations at which the finder will perform the services described in Section 22372, subdivisions (a) and (b), of the Financial Code:
Street Address | City | State | Zip Code |
---|
EXHIBIT B
Name and contact information of each employee of the finder who is responsible for that finder's finding activities on behalf of the licensee at each of the locations:
Name of Employee | Title | Physical Business Location | Telephone No. | Email |
---|
EXHIBIT C
Licensee Name: | License No: |
Services that a finder may perform for the licensee at the finder's physical location for business in accordance with Section 22372, subdivision (a), of the Financial Code. Please check the box for the type of services that the finder will perform for the licensee:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
A licensed or regulated finder may provide additional services on behalf of the licensee, in accordance with Section 22372, subdivision (b), of the Financial Code, IF the finder is licensed or regulated under any one of the federal or state laws specified in Section 22372, subdivision (b). Please check the box for the type of additional services the finder will provide for the licensee.
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
If the finder will provide the additional services in Section 22372, subdivision (b), please check the box next to the federal or state law under which the finder is licensed or regulated and also provide the information requested.
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name and address of the bank or trust company and its charter number and issuance date:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name and address of the licensee, license number, and effective date(s) of license:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name and address of the licensee, license number, and effective date(s) of license:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name and address of the credit union, charter number and issuance date:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name and address of the licensee, license number, and effective date(s) of license:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name and address of the licensee, license number, and effective date(s) of license:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name and address of the licensee, license number, issuing authority, and effective date(s) of license:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name and address of the licensee, license number, and effective date(s) of license:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name and address of the licensee, type of license (mortgage lender and/or servicer), license number, and effective date(s) of license:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name and address of the licensee, type of insurance license (agent, broker, etc.), license number, and effective date(s) of license:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
Section 5000
) of Division 3 of the Business and Professions Code, regarding accountants.
List the name and address of the licensee, license number, and effective date(s) of license:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name, address and contact information of the approved agent, the date the agent was approved as an agent of a money transmitter, and the name, address and contact information of the licensed money transmitter:
![Empty Checkbox](https://s1-govt.westlaw.com/WeblinksStaticContent_2406.1.2002/images/empty-checkbox.gif)
List the name and address of the federally regulated bank, thrift or credit union, the chartering authority, charter number and issuance date:
Services or activities that a finder shall not engage in, in accordance with Section 22372, subdivision (c), of the Financial Code:
A person who performs any of the following activities is a broker within the meaning of Section 22004 of the Financial Code and is required to obtain a broker’s license:
3. Offering information pertaining to a single prospective borrower to more than one licensee, except that, if a licensee has declined to offer a loan to a prospective borrower and has so notified that prospective borrower in writing, the person may then offer information pertaining to a single prospective borrower to another licensee with which it has a finder's agreement.
Completed by: |
(Name and Title) | (Date Completed) |
CFL 1603 (8/21)
Credits
Note: Authority cited: Section 22150, Financial Code. Reference: Sections 22369, 22370, 22372, 22375 and 22376, Financial Code.
History
1. New section filed 7-17-2014; operative 7-17-2014 pursuant to Government Code section 11343.4(b)(3) (Register 2014, No. 29).
2. Amendment of subsection (c) and Note filed 5-10-2022; operative 7-1-2022 (Register 2022, No. 19).
This database is current through 6/14/24 Register 2024, No. 24.
Cal. Admin. Code tit. 10, § 1603, 10 CA ADC § 1603
End of Document |