California Code of Regulations › Title 10 - Investment › Chapter 3 - Commissioner of Financial Protection and Innovation › Subchapter 9 - Escrow Agents › Article 3 - Bonds › Section 1726 - Notification of Required Membership Fees to Escrow Agents' Fidelity Corporation and Personnel

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
				  The Commissioner shall be notified in writing by the Escrow Agents' Fidelity
				  Corporation of the escrow agent's payment to the corporation of the required
				  membership fees for those escrow agents subject to membership pursuant to
				  subdivisions (a) and (c) of Section
				  17312 of
				  the Financial Code and the escrow agent shall notify the Commissioner, on the
				  form set forth in subdivision (b) furnished by the Commissioner, the names of
				  any officer, director, trustee, employee or other person directly or indirectly
				  compensated by the escrow agent before allowing the person in the regular
				  discharge of his/her duties to have access to moneys or negotiable securities
				  belonging to or in the possession of the escrow agent, or to draw checks upon
				  the escrow agent or the trust funds of the escrow agent.
(b) The following form shall be used to
				  notify the Commissioner pursuant to subsection (a):
Fee: $10.00 + DOJ
Noncriminal Applicant
Fingerprint Fee
Receipt No. __________
STATE OF CALIFORNIA DEPARTMENT OF BUSINESS
					 OVERSIGHT
320 West 4th Street, Suite 750
Los Angeles, California 90013-1105
(213) 576-7690
NOTICE OF OFFICERS, DIRECTORS, TRUSTEES, EMPLOYEES OR
					 OTHER PERSONS DIRECTLY OR INDIRECTLY COMPENSATED BY ESCROW AGENTS
OFFICIAL USE ONLY
LAST NAME __________
Date submitted CII: __________
Applicant I.D. # __________
PLEASE PRINT OR TYPE
___________________________
File No.
							 ___________________________
Name of Company
ADDRESS OF MAIN OFFICE:
___________________________
Street
City
State
ZIP
							 Code
___________________________
EMPLOYING BRANCH OFFICE:
APPLICANT'S NAME:
					 ______________________________Last______________________________First______________________________Middle
POSITION HELD OR TO BE HELD:
___________________________
HOME ADDRESS:
___________________________
___________________________
Street
City
State
ZIP
							 Code
DATE OF BIRTH:
					 ____________________Month____________________Day__________Year PLACE OF BIRTH:
					 ______________________________
___________________________
DRIVER'S LICENSE NUMBER:
HEIGHT: ____________________ WEIGHT: ____________________
					 SEX: ____________________ COLOR OF EYES: ____________________
COLOR OF HAIR: ____________________
* Fees should include the Department of Business
					 Oversight's filing fee of ($10.00) and the fee charged by the Department of
					 Justice (Section
					 11105, Penal
					 Code) for processing Noncriminal Applicant Fingerprints.
(c) The fee for filing a notice pursuant to
				  subsection (b) of this section is $10.00 for each notice plus the fee charged
				  by the Department of Justice (Section
				  11105, Penal
				  Code) for processing fingerprints and certain information provided by the
				  applicant on the form.
(d) If the
				  fingerprints of an individual named in a notice filed pursuant to subsection
				  (b) of this section are not on file with the Commissioner, the escrow agent
				  shall file with the notice fingerprint information pursuant to California Penal
				  Code Section
				  11077.1 for
				  such individual. Information as to whether or not an individual's fingerprints
				  are on file with the Commissioner may be obtained from any office of the
				  Commissioner. Upon filing the fingerprints of such person, an escrow agent
				  shall reimburse the Department of Business Oversight the actual amount then
				  currently charged by the Department of Justice for processing the
				  fingerprints.
1. Change
					 without regulatory effect of subsection (a) filed 3-27-86; effective thirtieth
					 day thereafter (Register 86, No. 13). For prior history, see Register 85, No.
					 12.
2. Change without regulatory effect pursuant to section
					 100(b)(3), title
					 1, California Code of Regulations filed 12-15-89; operative 1-14-90 (Register
					 90, No. 1).
3. Change without regulatory effect amending subsection
					 (b) filed 4-26-90 pursuant to section
					 100, title 1, California Code of
					 Regulations. Printing delayed due to numerical error (Register 90, No.
					 41).
4. Change without regulatory effect amending subsections (b)
					 and (c) filed 4-26-90 pursuant to section
					 100, title 1, California Code of
					 Regulations (Register 90, No. 41).
5. Editorial correction of
					 printing error in subsection (a), form in subsection (b), and HISTORY 4
					 (Register 91, No. 36).
6. Editorial correction of form in subsection
					 (b) (Register 95, No. 12).
7. Change without regulatory effect
					 amending form filed 5-24-99 pursuant to section
					 100, title 1, California Code of
					 Regulations (Register 99, No. 22).
8. Amendment of section and NOTE
					 filed 7-21-2003; operative 7-21-2003 pursuant to Government Code section
					 11343.4
					 (Register 2003, No. 30).
9. Change without regulatory effect
					 amending subsection (d) and amending NOTE filed 11-23-2005 pursuant to section
					 100, title 1, California Code of
					 Regulations (Register 2005, No. 47).
10. Change without regulatory
					 effect amending form within subsection (b) and subsection (d) filed 8-13-2014
					 pursuant to section
					 100, title 1, California Code of
					 Regulations (Register 2014, No. 33).
Note: Authority cited: Sections
						17203.1 and
						17400,
						Financial Code. Reference: Sections
						17203.1,
						17207,
						17209,
						17209.1 and
						17312,
						Financial Code; and Section
						11077.1, Penal
						Code.