See Title 10, California Code of Regulations, subchapter 5.5 of Chapter 3 beginning with Section 1300.43 for information and application requirements. Individuals employed as agents of a securities broker dealer. Special circumstances permit the substitution of other qualifying examinations. 260.210, 260.217.1, and 260.608.2. Registration with the National Association of Securities Dealers, Inc. and the New York Stock Exchange when sponsoring broker dealer is a member.
Broker dealer is responsible for reporting employment and payment of fees for all agents.
Inc. All agents employed by issuers are reported by the issuer in its application for authority to issue securities. Three business days after application has been filed with the Commissioner or upon the day certificate is issued, whichever occurs first. May 31 of each year. Call or visit the Department of Corporation's Los Angeles, San Francisco, or Sacramento office. California Franchise Investment Law, Sec.