Cal. Code Regs. Tit. 10, § 260.211.7 - Maintenance of Records
Current through Register 2021 Notice Reg. No. 52, December 24, 2021
(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.
Notes
Note: Authority cited: Section 25206.1, Corporations Code. Reference: Sections 25206.1 and 25401, Corporations Code.
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