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

Cal. Code Regs. Tit. 10, § 260.211.7

Note: Authority cited: Section 25206.1, Corporations Code. Reference: Sections 25206.1 and 25401, Corporations Code.

1. New section filed 6-21-2017; operative 6-21-2017 pursuant to Government Code section 11343.4(b)(3) (Register 2017, No. 25).

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