Cal. Code Regs. Tit. 10, § 250.60 - Limitations on Licenses and Certificates to Aliens

Current through Register 2021 Notice, Register No. 40, October 1, 2021

(a) This section shall apply to any individual (e.g., sole proprietorship) who is applying for any of the following:
(1) Broker-Dealer Certificate (Corporations Code Section 25211).
(2) Investment Adviser Certificate (Corporations Code Section 25231).
(3) Finance Lender or Broker License (Financial Code Section 22101).
(4) Residential Mortgage Lender and/or Servicer Licenses (Financial Code Sections 50122 and 50130).
(b) All eligibility requirements contained herein shall be applied without regard to the race, creed, color, gender, religion, or national origin of the individual applying for a license or certificate described in subsection (a).
(c) Pursuant to Section 411 of the Personal Responsibility and Work Opportunity Reconciliation Act of 1996 ( Pub. L. No. 104-193 ("PRWORA"), 8 U.S.C. Section 1621, et seq.), and notwithstanding any other provision of this division, aliens who are not qualified aliens, nonimmigrant aliens under the Immigration and Nationality Act ("INA") ( 8 U.S.C. Section 1101, et seq.), or aliens paroled into the United States under Section 212(d)(5) of the INA ( 8 U.S.C. Section 1182(d)(5) ), for less than one year, are not eligible to receive a license or certificate described in subsection (a), except as provided in 8 U.S.C. 1621(c)(2).
(d) A qualified alien is an alien who, at the time he or she applies for, receives, or attempts to receive a license or certificate described in subsection (a), is, under Section 431(b) and (c) of the PRWORA ( 8 U.S.C. Section 1641(b) and (c) ), any of the following:
(1) An alien who is lawfully admitted for permanent residence under the INA ( 8 U.S.C. Section 1101, et seq.).
(2) An alien who is granted asylum under Section 208 of the INA ( 8 U.S.C. Section 1158 ).
(3) A refugee who is admitted to the United States under Section 207 of the INA ( 8 U.S.C. Section 1157 ).
(4) An alien who is paroled into the United States under Section 212(d)(5) of the INA ( 8 U.S.C. Section 1182(d)(5) ) for a period of at least one year.
(5) An alien whose deportation is being withheld under Section 243(h) of the INA ( 8 U.S.C. Section 1253(h) ) (as in effect immediately before the effective date of Section 307 of Division C of Public Law 104-208 ) or Section 241(b)(3) of such Act ( 8 U.S.C. Section 1251(b)(3) ) (as amended by Section 305(a) of Division C of Public Law 104-208 ).
(6) An alien who is granted conditional entry pursuant to Section 203(a)(7) of the INA as in effect prior to April 1, 1980. ( 8 U.S.C. Section 1153(a)(7) ) (See editorial note under 8 U.S.C. Section 1101, "Effective Date of 1980 Amendment.")
(7) An alien who is a Cuban or Haitian entrant (as defined in Section 501(e) of the Refugee Education Assistant Act of 1980 (U.S.C. Section 1522 note)).
(8) An alien who meets all of the conditions of subparagraphs (A), (B), (C), and (D) below:
(A) The alien has been battered or subjected to extreme cruelty in the United States by a spouse or a parent, or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent of the alien consented to, or acquiesced in, such battery or cruelty. For purposes of this subsection, the term "battered or subjected to extreme cruelty" includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence.
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the Department of Business Oversight . For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
1.The benefits are needed to enable the alien to become self-sufficient following separation from the abuser.
2.The benefits are needed to enable the alien to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien from the abuser.
3.The benefits are needed due to a loss of financial support resulting from the alien's separation from the abuser.
4.The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien to lose his or her job or to earn less or to require the alien to leave his or her job for safety reasons.
5.The benefits are needed because the alien requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6.The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's ability to care for his or her children (e.g., inability to house, feed or clothe children or to put children into a day care for fear of being found by the abuser).
7.The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8.The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien and/or to care for any resulting children.
9.Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien had when living with the abuser.
(C) The alien has a petition that has been approved or has a petition pending which sets forth a prima facie case for:
1.status as a spouse or child of a United States citizen pursuant to clause (ii), (iii), or (iv) of Section 204(a)(1)(A) of the INA ( 8 U.S.C. Section 1154(a)(1)(A)(ii), (iii), or (iv) ),
2.classification pursuant to clause (ii) or (iii) of Section 204(a)(1)(B) of the INA ( 8 U.S.C. Section 1154(a)(1)(B)(ii) or (iii) ),
3.suspension of deportation and adjustment of status pursuant to Section 244(a)(3) of the INA ( 8 U.S.C. Section 1254 ) as in effect prior to April 1, 1997 [ Pub.L. 104-208, Section 501 (effective September 30, 1996, pursuant to Section 591); Pub.L. 104-208, Section 304 (effective April 1, 1997, pursuant to Section 309); Pub.L. 105-33, Section 5581 (effective pursuant to Section 5582)] (incorrectly codified as "cancellation of removal under Section 240A of such Act [ 8 U.S.C. Section 1229b ] (as in effect prior to April 1, 1997),".)
4.status as a spouse or child of a United States citizen pursuant to clause (i) of Section 204(a)(1)(A) of the INA ( 8 U.S.C. Section 1154(a)(1)(A)(i) ) or classification pursuant to clause (i) of Section 204(a)(1)(B) of the INA ( 8 U.S.C. Section 1154(a)(1)(B)(i) ), or
5.cancellation or removal pursuant to Section 240A(b)(2) of the INA ( 8 U.S.C. Section 1229b(b)(2) ).
(D) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(9) An alien who meets all of the conditions of subparagraphs (A), (B), (C), (D), and (E) below:
(A) The alien has a child who has been battered or subjected to extreme cruelty in the United States by a spouse or a parent of the alien (without the active participation of the alien in the battery or cruelty), or by a member of the spouse's or parent's family residing in the same household as the alien, and the spouse or parent consented or acquiesced to such battery or cruelty. For purposes of this subsection, the term "battered or subjected to extreme cruelty" includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered as acts of violence.
(B) The alien did not actively participate in such battery or cruelty.
(C) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the Department of Business Oversight . For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
1.The benefits are needed to enable the alien's child to become self-sufficient following separation from the abuser.
2.The benefits are needed to enable the alien's child to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien's child from the abuser.
3.The benefits are needed due to a loss of financial support resulting from the alien's child's separation from the abuser.
4.The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien's child to lose his or her job or to earn less or to require the alien's child to leave his or her job for safety reasons.
5.The benefits are needed because the alien's child requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6.The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's child's ability to care for his or her children (e.g., inability to house, feed or clothe children or to put children into a day care for fear of being found by the abuser).
7.The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8.The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien's child and/or to care for any resulting children.
9.Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien's child had when living with the abuser.
(D) The alien meets the requirements of subsection (c)(8)(C) above.
(E) For the period for which benefits are sought, the individual responsible for the battery or cruelty does not reside in the same household or family eligibility unit as the individual subjected to the battery or cruelty.
(10) An alien child who meets all of the conditions of subparagraphs (A), (B), and (C) below:
(A) The alien child resides in the same household as a parent who has been battered or subjected to extreme cruelty in the United States by that parent's spouse or by a member of the spouse's family residing in the same household as the parent and the spouse consented or acquiesced to such battery or cruelty. For the purposes of this subsection, the term "battered or subjected to extreme cruelty" includes, but is not limited to being the victim of any act or threatened act of violence including any forceful detention, which results or threatens to result in physical or mental injury. Rape, molestation, incest (if the victim is a minor), or forced prostitution shall be considered acts of violence.
(B) There is a substantial connection between such battery or cruelty and the need for the benefits to be provided in the opinion of the Department of Business Oversight . For purposes of this subsection, the following circumstances demonstrate a substantial connection between the battery or cruelty and the need for the benefits to be provided:
1.The benefits are needed to enable the alien child's parent to become self-sufficient following separation from the abuser.
2.The benefits are needed to enable the alien child's parent to escape the abuser and/or the community in which the abuser lives, or to ensure the safety of the alien child's parent from the abuser.
3.The benefits are needed due to a loss of financial support resulting from the alien child's parent's separation from the abuser.
4.The benefits are needed because the battery or cruelty, separation from the abuser, or work absences or lower job performance resulting from the battery or extreme cruelty or from legal proceedings relating thereto (including resulting child support, child custody, and divorce actions) cause the alien child's parent's to lose his or her job or to earn less or to require the alien to leave his or her job for safety reasons.
5.The benefits are needed because the alien child's parent requires medical attention or mental health counseling, or has become disabled, as a result of the battery or extreme cruelty.
6.The benefits are needed because the loss of a dwelling or source of income or fear of the abuser following separation from the abuser jeopardizes the alien's ability to care for his or her children (e.g., inability to house, feed or clothe children or put children into a day care for fear of being found by the abuser).
7.The benefits are needed to alleviate nutritional risk or need resulting from the abuse or following separation from the abuser.
8.The benefits are needed to provide medical care during a pregnancy resulting from the abuser's sexual assault or abuse of, or relationship with, the alien child's parent and/or to care for any resulting children.
9.Where medical coverage and/or health care services are needed to replace medical coverage or health care services the alien child's parent had when living with the abuser.
(C) The alien child meets the requirements of subsection (c)(8)(C) above.
(e) For purposes of this section, "nonimmigrant" is defined the same as in Section 101(a)(15) of the INA ( 8 U.S.C. Section 1101(a)(15) ).
(f) For purposes of establishing eligibility for a license or certificate described in subsection (a), all of the following must be met:
(1) The applicant must declare himself or herself to be a citizen of the United States or a qualified alien under subsection (d), a nonimmigrant alien under subsection (e), or an alien paroled into the United States for less than one year under Section 212(d)(5) of the INA ( 8 U.S.C. Section 1182(d)(5) ). The applicant shall declare that status through the use of the "Statement of Citizenship, Alienage, and Immigration Status for Application of Department of Business Oversight License or Certificate" Form.
(2) The applicant must present documents of a type acceptable to the Immigration and Naturalization Service ( "INS") which serve as reasonable evidence of the applicant's declared status. A fee receipt from the INS for replacement of a lost, stolen, or unreadable INS document is reasonable evidence of the alien's declared status.
(3) The applicant must complete and sign the "Statement of Citizenship, Alienage, and Immigration Status for Department of Business Oversight License or Certificate" Form.
(4) Where the documents presented do not on their face reasonably appear to be genuine or to relate to the individual presenting them, the government entity that originally issued the documents should be contacted for verification. With regard to naturalized citizens and derivative citizens presenting certificates of citizenship and aliens, the INS may be contacted for verification. The Department of Business Oversight may request verification from the INS by filing INS Form G-845 with copies of the pertinent documents provided by the applicant with the local INS office. If the applicant has lost his or her original documents or presents expired documents or is unable to present any documentation evidencing his or her immigration status, the applicant should be referred to the local INS office to obtain documentation.
(5) The type of documentation referred to the INS for verification pursuant to INS Form G-845 shall include the following:
(A) The document presented indicates immigration status but does not include an alien registration or alien admission number.
(B) The document is suspected to be counterfeit or to have been altered.
(C) The document includes an alien registration number in the A60 000 000 (not yet issued) or A80 000 000 (illegal border crossing) series.
(D) The document is one of the following: an INS Form I-181b notification letter issued in connection with an INS Form I-181 Memorandum of Creation of Record of Permanent Residence, an Arrival-Departure Record (INS Form I-94) or a foreign passport stamped "PROCESSED FOR I-551, TEMPORARY EVIDENCE OF LAWFUL PERMANENT RESIDENCE" that INS issued more than one year before the date of application for a license or certificate described in subsection (a).
(6) If the INS advises that the applicant has citizenship status or immigration status which makes him or her a qualified alien, a nonimmigrant, or an alien paroled for less than one year under Section 212(d)(5) of the INA, the INS verification should be accepted. If the INS advises that it cannot verify that the applicant has citizenship status or an immigration status that makes him or her a qualified alien, a nonimmigrant, or an alien paroled for less than one year under Section 212(d)(5) of the INA, benefits should be denied and the applicant notified pursuant to the Department of Business Oversight's regular procedures of his or her rights to appeal the denial of benefits.
(g) Pursuant to Section 434 of the PRWORA ( 8 U.S.C. Section 1644 ), where the Department of Business Oversight reasonably believes that an alien is unlawfully in the State based on the failure of the alien to provide reasonable evidence of the alien's declared status, after an opportunity to do so, said alien shall be reported to the INS.
(h) Provided that the alien has completed and signed "Statement of Citizenship, Alienage, and Immigration Status for Department of Business Oversight License or Certificate" Form under penalty of perjury, eligibility for the license or certificate shall not be delayed, denied, reduced or terminated while the status of the alien is verified.
(i) Pursuant to Section 432(d) of the PRWORA ( 8 U.S.C. Section 1642(d) ), a nonprofit charitable organization that provides federal, state or local public benefits shall not be required to determine, verify, or otherwise require proof of eligibility of any applicant with respect to his or her immigration status or alienage.
(j) Nothing in this section shall be construed to withdraw eligibility for any state or local benefits under Section 411(b) of the PRWORA ( 8 U.S.C. Section 1621(b) ).
(k) Any applicant who is determined to be ineligible pursuant to subsection (b) and (e) or who was made eligible for a license or certificate described in subsection (a) whose services are terminated, suspended, or reduced pursuant to subsections (c) and (f) is entitled to a hearing, pursuant to Chapter 5 (commencing with Section 11500) of Part 1 of Division 3 of Title 2 of the Government Code, and in all cases, the Commissioner of Corporations has all the powers granted therein.

Notes

Cal. Code Regs. Tit. 10, § 250.60

Note: Authority cited: Section 25610, Corporations Code; and Sections 22150 and 50304, Financial Code. Reference: Sections 25211 and 25231, Corporations Code; Sections 22101, 50122 and 50130, Financial Code; and 8 U.S.C. Sections 1621, 1641 and 1642.

1. New article 5 (sections 250.60-250.61) and section filed 7-6-98; operative 8-5-98 (Register 98, No. 28).
2. Change without regulatory effect repealing subsection (a)(5) and amending Note filed 9-25-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 39).
1. New article 5 (sections 250.60-250.61) and section filed 7-6-98; operative 8-5-98 (Register 98, No. 28).
2. Change without regulatory effect repealing subsection (a)(5) and amending Note filed 9-25-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 39).
3. Change without regulatory effect amending subsections (d)(8)(B), (d)(9)(C), (d)(10)(B), (f)(1), (f)(3), (f)(4), (f)(6), (g) and (h) filed 8-13-2014 pursuant to section 100, title 1, California Code of Regulations (Register 2014, No. 33).
1. New article 5 (sections 250.60-250.61) and section filed 7-6-98; operative 8-5-98 (Register 98, No. 28).
2. Change without regulatory effect repealing subsection (a)(5) and amending Note filed 9-25-2002 pursuant to section 100, title 1, California Code of Regulations (Register 2002, No. 39).
3. Change without regulatory effect amending subsections (d)(8)(B), (d)(9)(C), (d)(10)(B), (f)(1), (f)(3), (f)(4), (f)(6), (g) and (h) filed 8-13-2014 pursuant to section 100, title 1, California Code of Regulations (Register 2014, No. 33).

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