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§ 260.242. Surrender of Certificate as a Broker-Dealer or Investment Adviser.

10 CA ADC § 260.242Barclays Official California Code of RegulationsEffective: December 10, 2009

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
Effective: December 10, 2009
10 CCR § 260.242
§ 260.242. Surrender of Certificate as a Broker-Dealer or Investment Adviser.
Currentness
(a) An application to surrender a certificate as a broker-dealer shall be filed on Form BDW. Each licensed broker-dealer that is a member of the Financial Industry Regulatory Authority shall file Form BDW through the Central Registration Depository in accordance with its procedures for transmission to the Commissioner. All other broker-dealers shall file Form BDW directly with the Commissioner.
(b) An application to surrender a certificate as an investment adviser shall be filed on Form ADV-W in accordance with the instructions in Form ADV-W. Form ADV-W shall be filed with the Investment Adviser Registration Depository (IARD) in accordance with its procedures for transmission to the Commissioner.

Credits

Note: Authority cited: Section 25610, Corporations Code. Reference: Sections 25231, 25242, 25612.3 and 25612.5, Corporations Code.
History
1. Amendment of form filed 5-14-69; effective thirtieth day thereafter (Register 69, No. 20).
2. Amendment filed 3-1-74; effective thirtieth day thereafter (Register 74, No. 9).
3. Amendment of Items 12, 15 and 16 filed 11-14-78; effective thirtieth day thereafter (Register 78, No. 45).
4. Amendment of Item 12 filed 11-29-79 as an emergency; designated effective 1-1-80. Certificate of Compliance included (Register 79, No. 48).
5. Editorial correction of Item 9 (Register 80, No. 4).
6. Repealer and new section filed 1-3-89; operative 2-1-89 (Register 89, No. 2).
7. Change without regulatory effect amending certification filed 9-25-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 39).
8. Repealer and new section and amendment of Note filed 3-4-2003; operative 4-3-2003 (Register 2003, No. 10).
9. Amendment of section and Note filed 3-6-2007; operative 4-5-2007 (Register 2007, No. 10).
10. Amendment of subsection (a) filed 11-10-2009; operative 12-10-2009 (Register 2009, No. 46).
This database is current through 5/3/24 Register 2024, No. 18.
Cal. Admin. Code tit. 10, § 260.242, 10 CA ADC § 260.242
End of Document