Subarticle 2 - Application

  1. § 80.4100 - Scope
  2. § 80.4100.10 - Pre-Filing Conference
  3. § 80.4101 - Included Applications
  4. § 80.4102 - Facing Page
  5. § 80.4103 - Additional Information and Number of Copies
  6. § 80.4104 - Information Regarding History and Business
  7. § 80.4105 - Information Regarding Directors, Executive Officers, Control Persons, and 10% Equity Security Owners
  8. § 80.4105.10 - Fingerprint and Background Checks
  9. § 80.4105.11 - Information Regarding Control Persons Who Are Not Residents of the United States
  10. § 80.4106 - Information Regarding Corporate or Limited Liability Matters
  11. § 80.4107 - Information Regarding Securities
  12. § 80.4108 - Information Regarding Equity Security Owners
  13. § 80.4109 - Information Regarding Affiliates
  14. § 80.4110 - Information Regarding Controlling Persons. [Repealed]
  15. § 80.4111 - Information Regarding Financial Statements and Reports
  16. § 80.4112 - Information Regarding Extensions of Credit. [Repealed]
  17. § 80.4113 - Information Regarding Legal Proceedings
  18. § 80.4114 - Information Regarding Payment Instrument or Travelers Check Licenses. [Repealed]
  19. § 80.4115 - Information Regarding Business Plan
  20. § 80.4116 - Information Regarding California Offices. [Repealed]
  21. § 80.4117 - Information Regarding Proposed California Agents
  22. § 80.4118 - Information Regarding Operations
  23. § 80.4118.10 - Information Regarding Office of Foreign Assets Control ("Ofac") Compliance
  24. § 80.4118.11 - Information Regarding Bank Secrecy Act ("Bsa") Compliance
  25. § 80.4119 - Information Regarding Forms of Receipts and Payment Instruments
  26. § 80.4120 - Information Regarding Clearing Bank
  27. § 80.4121 - Information Regarding PRO Forma Financial Statements
  28. § 80.4122 - Information Regarding Reasonable Promise of Successful Operation. [Repealed]
  29. § 80.4123 - Information Regarding Compliance with Financial Code Section 2081
  30. § 80.4124 - Information Regarding Authorization
  31. § 80.4125 - Signature, Acknowledgment, and Verification
  32. § 80.4126 - Fee
  33. § 80.4127 - Amendment

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