reglab/statecodes huggingface dataset:
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 6 - Hearings › Subarticle 2 - Adjudicatory Hearings › Section 5.5106 - Hearing Officer

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
An adjudicatory hearing shall be held before a hearing
						officer, who shall preside over such adjudicatory hearing. The hearing officer
						shall have authority to determine the order in which evidence may be presented,
						to rule on the admission or exclusion of evidence, to question witnesses, and
						to exercise all powers relating to the conduct of the adjudicatory
						hearing.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 6 - Hearings › Subarticle 2 - Adjudicatory Hearings › Section 5.5107 - Hearing Panel

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The members of the hearing panel shall assist the hearing
						officer and may question witnesses.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 6 - Hearings › Subarticle 2 - Adjudicatory Hearings › Section 5.5108 - Default

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) If a respondent
					 fails to file an answer with the Commissioner in accordance with Section
					 5.5102 of this Chapter, he shall
					 be deemed to be in default.
(b) If
					 a respondent or intervening party fails to comply with a request for discovery
					 in accordance with Section
					 5.5104 of this Chapter, fails to
					 appear at an adjudicatory hearing, or fails to comply with any lawful order
					 issued by the Commissioner or a hearing officer in connection with an
					 adjudicatory hearing, he shall be deemed to be in default.
(c) No respondent or intervening party who is
					 in default shall have any right at any adjudicatory hearing to cross-examine
					 witnesses, to present any evidence to controvert the allegations of the
					 accusation, or to present any evidence on his own behalf.
1. Change
						without regulatory effect amending section and adding new NOTE filed 8-19-97
						pursuant to section
						100, title 1, California Code of
						Regulations (Register 97, No. 34).
Note: Authority cited: Sections
						  215,
						  4831,
						  31101 and
						  33202,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 6 - Hearings › Subarticle 2 - Adjudicatory Hearings › Section 5.5109 - Evidence

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Oral evidence
					 shall be taken a an adjudicatory hearing only on oath or affirmation.
(b) Subject to the provisions of Section
					 5.5108 this Chapter, each party
					 shall have these rights at an adjudicatory hearing: To present evidence
					 relevant to the issues; to cross-examine opposing witnesses on any matter
					 relevant to the issues even though such matter was not covered in the direct
					 examination; to impeach any witness regardless of which party first called him
					 to testify; and to rebut the evidence against him. If a respondent does not
					 testify on his own behalf, he may be called and examined as if under
					 cross-examination.
(c) An
					 adjudicatory hearing need not be conducted according to technical rules
					 relating to evidence and witnesses. Any relevant evidence, including hearsay,
					 shall be admitted if it is the sort of evidence on which responsible persons
					 are accustomed to rely in the conduct of serious affairs, regardless of the
					 existence of any common law or statutory rule which might make improper the
					 admission of such evidence over objection in civil actions. The rules of
					 privilege shall be effective to the same extent that they are now or hereafter
					 may be recognized in civil actions, and irrelevant or unduly repetitious
					 evidence shall be excluded.
(d)
					 Official notice may be taken of any generally accepted technical or scientific
					 matter with the Commissioner's special field of competency or of any fact which
					 may be judicially noticed by the courts of the State of California.
1. Change
						without regulatory effect amending section and adding new NOTE filed 8-19-97
						pursuant to section
						100, title 1, California Code of
						Regulations (Register 97, No. 34).
Note: Authority cited: Sections
						  215,
						  4831,
						  31101 and
						  33202,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 6 - Hearings › Subarticle 2 - Adjudicatory Hearings › Section 5.5110 - Reporter

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The proceedings at an adjudicatory hearing shall be
						reported by a certified shorthand reporter or by a phonographic
						reporter.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 6 - Hearings › Subarticle 3 - Investigatory Hearings › Section 5.5200 - Notice of Investigatory Hearings

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) The Commissioner shall initiate an
					 investigatory hearing proceeding by serving a notice of investigatory hearing
					 on the respondent. A notice of investigatory hearing shall be in writing,
					 signed by the Commissioner, and shall contain the following:
(1) Name and address of the
					 respondent.
(2) Statement of the
					 facts which give rise to the investigatory hearing.
(3) Statement of the issues to be considered
					 at the investigatory hearing.
(4)
					 Time and place of the investigatory hearing.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 6 - Hearings › Subarticle 3 - Investigatory Hearings › Section 5.5201 - Time and Place of Investigatory Hearing

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) An investigatory hearing shall be held at
					 the time and place set forth in the notice of such investigatory hearing.
					 However, at any time before the commencement of an investigatory hearing, the
					 Commissioner may, upon application or on his own initiative, change the time or
					 place of such investigatory hearing by amending the notice of the investigatory
					 hearing and serving a copy of such amendment on the respondent.
(b) At the time and place set for an
					 investigatory hearing in the notice of such investigatory hearing or in any
					 amendment to such notice, as the case may be, the hearing officer may continue
					 the investigatory hearing from day to day or adjourn the investigatory hearing
					 to a later date or to a different place, without notice other than an
					 announcement at the investigatory hearing.
1. Change
						without regulatory effect amending section and adding new NOTE filed 8-19-97
						pursuant to section
						100, title 1, California Code of
						Regulations (Register 97, No. 34).
Note: Authority cited: Sections
						  215,
						  4831,
						  31101 and
						  33202,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 6 - Hearings › Subarticle 3 - Investigatory Hearings › Section 5.5202 - Hearing Officer

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
An investigatory hearing shall be held before a hearing
						officer, who shall preside over such investigatory hearing. The hearing officer
						shall have authority to determine the order in which evidence may be presented,
						to rule on the admission or exclusion of evidence, to question witnesses, and
						to exercise all powers relating to the conduct of the investigatory
						hearing.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 6 - Hearings › Subarticle 3 - Investigatory Hearings › Section 5.5203 - Hearing Panel

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The members of the hearing panel shall assist the hearing
						officer and may question witnesses.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 6 - Hearings › Subarticle 3 - Investigatory Hearings › Section 5.5204 - Evidence

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Unless the
					 Commissioner or the hearing officer orders otherwise, witnesses need not be
					 sworn.
(b) Each party may present
					 evidence relevant to the issues. To the extent permitted by the hearing
					 officer, any interested person who is not a party may present evidence relevant
					 to the issues. Unless the Commissioner or the hearing officer orders otherwise,
					 witnesses shall not be subject to cross-examination.
(c) An investigatory hearing need not be
					 conducted according to technical rules relating to evidence and witnesses. Any
					 relevant evidence, including hearsay, shall be admitted if it is the sort of
					 evidence on which responsible persons are accustomed to rely in the conduct of
					 serious affairs, regardless of the existence of any common law or statutory
					 rule which might make improper the admission of such evidence over objection in
					 civil actions. The rules of privilege shall be effective to the same extent
					 that they are now or hereafter may be recognized in civil actions, and
					 irrelevant or unduly repetitious evidence shall be excluded.
(d) Official notice may be taken of any
					 generally accepted technical or scientific matter within the Commissioner's
					 special field of competency or of any fact which may be judicially noticed by
					 the courts of the State of California.
1. Change
						without regulatory effect amending section and adding new NOTE filed 8-19-97
						pursuant to section
						100, title 1, California Code of
						Regulations (Register 97, No. 34).
Note: Authority cited: Sections
						  215,
						  4831,
						  31101 and
						  33202,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 1 - GENERAL PROVISIONS › Section 5.6000 - Scope. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government Code.
						  Reference: Sections 1374- 15377, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 1 - GENERAL PROVISIONS › Section 5.6000.5 - Applicability of Sections to Part 8 (Commencing with Section 5.6180 and Part 9 (Commencing with Section 5.6190). (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government Code.
						  Reference: Sections 15374- 15377, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 1 - GENERAL PROVISIONS › Section 5.6001 - Definitions. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government Code.
						  Reference: Sections 15374- 15377, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 1 - GENERAL PROVISIONS › Section 5.6002 - Calculation of Time Periods. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government Code.
						  Reference: Sections 15374- 15377, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 1 - GENERAL PROVISIONS › Section 5.6003 - Amendment to Permit Application. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government Code.
						  Reference: Sections 15374- 15377, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 1 - GENERAL PROVISIONS › Section 5.6004 - Extension or Waiver of Time Periods. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government Code.
						  Reference: Sections 15374- 15377, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 1 - GENERAL PROVISIONS › Section 5.6005 - Time of Filing. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government Code.
						  Reference: Sections 15374- 15377, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 1 - GENERAL PROVISIONS › Section 5.6006 - Additional Information. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government Code.
						  Reference: Sections 15374- 15377, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 1 - GENERAL PROVISIONS › Section 5.6007 - No Requirement of Approval. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government Code.
						  Reference: Sections 15374- 15377, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 1 - GENERAL PROVISIONS › Section 5.6008 - Not Applicable to Certain Permit Applications

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government Code.
						  Reference: Sections 15374- 15377, Government
						  Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 1 - GENERAL PROVISIONS › Section 5.6100 - Scope. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 1 - GENERAL PROVISIONS › Section 5.6101 - Time Periods. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 1 - GENERAL PROVISIONS › Section 5.6102 - Primary and Secondary Applications. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 2 - PERMIT APPLICATIONS UNDER BANKING LAW › Section 5.6110 - Scope. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 2 - PERMIT APPLICATIONS UNDER BANKING LAW › Section 5.6111 - Definitions. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 2 - PERMIT APPLICATIONS UNDER BANKING LAW › Section 5.6112 - Authorization to Transact Banking Business. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 2 - PERMIT APPLICATIONS UNDER BANKING LAW › Section 5.6113 - Offices. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 2 - PERMIT APPLICATIONS UNDER BANKING LAW › Section 5.6114 - Offer and Sale of Securities. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 2 - PERMIT APPLICATIONS UNDER BANKING LAW › Section 5.6115 - Investment in Stock and Other Securities. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 2 - PERMIT APPLICATIONS UNDER BANKING LAW › Section 5.6116 - Merger or Purchase and Sale Agreement

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Sections 15376, Government
							 Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 2 - PERMIT APPLICATIONS UNDER BANKING LAW › Section 5.6117 - Foreign (Other Nation) Banks. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 3 - PERMIT APPLICATIONS UNDER TRANSMITTERS LAW › Section 5.6130 - Scope. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 3 - PERMIT APPLICATIONS UNDER TRANSMITTERS LAW › Section 5.6131 - License. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 4 - PERMIT APPLICATIONS UNDER CORPORATE NAME APPROVAL LAW › Section 5.6140 - Scope. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 4 - PERMIT APPLICATIONS UNDER CORPORATE NAME APPROVAL LAW › Section 5.6141 - Certificate of Approval of Name. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 5 - PERMIT APPLICATIONS UNDER DEPOSITORY CORPORATION SALE, MERGER, AND CONVERSION LAW › Section 5.6150 - Scope. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 5 - PERMIT APPLICATIONS UNDER DEPOSITORY CORPORATION SALE, MERGER, AND CONVERSION LAW › Section 5.6151 - Sale of Business Unit. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 5 - PERMIT APPLICATIONS UNDER DEPOSITORY CORPORATION SALE, MERGER, AND CONVERSION LAW › Section 5.6152 - Merger. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 5 - PERMIT APPLICATIONS UNDER DEPOSITORY CORPORATION SALE, MERGER, AND CONVERSION LAW › Section 5.6153 - Conversion. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 6 - PERMIT APPLICATIONS UNDER BUSINESS AND INDUSTRIAL DEVELOPMENT CORPORATIONS LAW › Section 5.6160 - Scope. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 6 - PERMIT APPLICATIONS UNDER BUSINESS AND INDUSTRIAL DEVELOPMENT CORPORATIONS LAW › Section 5.6161 - License. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 6 - PERMIT APPLICATIONS UNDER BUSINESS AND INDUSTRIAL DEVELOPMENT CORPORATIONS LAW › Section 5.6162 - Offices. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 6 - PERMIT APPLICATIONS UNDER BUSINESS AND INDUSTRIAL DEVELOPMENT CORPORATIONS LAW › Section 5.6163 - Acquisition of Control. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 6 - PERMIT APPLICATIONS UNDER BUSINESS AND INDUSTRIAL DEVELOPMENT CORPORATIONS LAW › Section 5.6164 - Merger, Purchase or Sale. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 7 - PERMIT APPLICATIONS UNDER PAYMENT INSTRUMENTS LAW › Section 5.6170 - Scope. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 7 - PERMIT APPLICATIONS UNDER PAYMENT INSTRUMENTS LAW › Section 5.6171 - License. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 8 - PERMIT APPLICATIONS UNDER CREDIT UNION LAW › Section 5.6180 - Scope. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 8 - PERMIT APPLICATIONS UNDER CREDIT UNION LAW › Section 5.6181 - License. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 8 - PERMIT APPLICATIONS UNDER CREDIT UNION LAW › Section 5.6182 - Expansion of Field of Membership. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 8 - PERMIT APPLICATIONS UNDER CREDIT UNION LAW › Section 5.6183 - Eligibility to Add Select Groups. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 9 - PERMIT APPLICATIONS UNDER INDUSTRIAL LOAN LAW › Section 5.6190 - Scope. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 9 - PERMIT APPLICATIONS UNDER INDUSTRIAL LOAN LAW › Section 5.6191 - Application to Transact Business of Industrial Loan Company. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 5 - Administration › Article 7 - PERMIT REFORM ACT OF 1981 REGULATIONS › Subarticle 2 - PERIODS FOR PROCESSING PERMIT APPLICATIONS › Part 9 - PERMIT APPLICATIONS UNDER INDUSTRIAL LOAN LAW › Section 5.6192 - Offices. (Repealed)

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section 15376, Government
							 Code. Reference: Section 15376, Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 1 - Citation and Construction › Section 10.1 - Scope

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) This Subchapter
					 contains regulations relating to banks.
(b) This Article contains general provisions
					 relating to this Subchapter. The succeeding Articles of this Subchapter contain
					 regulations relating to various subjects regarding banks.
(c) This Subarticle contains provisions
					 relating to the citation and construction of this Subchapter. Subarticle 2
					 (commencing with Section
					 10.100) of this Article contains
					 definitions for this Subchapter.
1.
						Redesignation from Subchapter 10 (Sections
						10.1-10.101, not consecutive) to
						Article 30 of Subchapter 10 (Sections
						10.190000-10.190201, not
						consecutive) filed 12-29-78; designated effective 3-1-79 (Register 79, No. 2).
						For history of former Subchapter 10, see Registers 77, Nos. 10 and 1; 75, Nos.
						23 and 22; and 74, No. 48.
2. New Subchapter 10 (Sections
						10.1-10.20478, not consecutive)
						filed 12-29-78; designated effective 3-1-79 (Register 79, No.
						2).
Note: Authority cited for Subchapter 10 (Sections
						  10.1-10.20478, not consecutive):
						  Section
						  215,
						  Financial Code. Reference: Division 1, Financial
						  Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 1 - Citation and Construction › Section 10.2 - Citation

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) This Subchapter
					 shall be known and may be cited as the "Banking Regulations."
(b) The first unit of the number of each
					 Section in this Subchapter is "10." However, in citing a section of this
					 Subchapter, a person may omit the first unit of the number of such section if
					 it is clear that such person is referring to a section of the Banking
					 Regulations.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 1 - Citation and Construction › Section 10.3 - Unsafe and Unsound Acts

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Any act which is designated in this Subchapter as an
						"unsafe and unsound act" is an act which, in the usual or typical circumstances
						encountered, constitutes conducting business in an unsafe and injurious manner
						within the meaning of Financial Code Sections
						580 and
						581 and in
						an unsafe manner within the meaning of Financial Code Section
						592.
						However, it is impossible to foresee or provide for all of the varying
						circumstances which may arise in a particular case. Also, the acts designated
						in this Subchapter as "unsafe and unsound acts" are not intended to constitute
						a complete compilation of all the acts which constitute conducting business in
						an unsafe or injurious manner within the meaning of Financial Code Sections
						580 and
						581 or in
						an unsafe manner within the meaning of Financial Code Section
						592.
						Therefore, the Commissioner may, if and when warranted in any particular case,
						upon application or on his own initiative, decide that in such case an act
						which is designated in this Subchapter as an "unsafe and unsound act" does not
						constitute conducting business in an unsafe or injurious manner within the
						meaning of Financial Code Sections
						580 and
						581 or in
						an unsafe manner within the meaning of Financial Code Section
						592. Also,
						the Commissioner may decide that an act which is not designated in this
						Subchapter as an "unsafe and unsound act" constitutes conducting business in an
						unsafe or injurious manner within the meaning of Financial Code Sections
						580 and
						581 or in
						an unsafe manner within the meaning of Financial Code Section
						592.
1. Change
						without regulatory effect amending section and adding new NOTE filed 8-19-97
						pursuant to section
						100, title 1, California Code of
						Regulations (Register 97, No. 34).
2. Change without regulatory
						effect amending section and NOTE filed 8-21-2019 pursuant to section
						100, title 1, California Code of
						Regulations (Register 2019, No. 34).
Note: Authority cited: Section
						  326,
						  Financial Code. Reference: Sections
						  550,
						  580,
						  585,
						  590 and
						  592,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 1 - Citation and Construction › Section 10.4 - References to Financial Statements and Accounting Items

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
In this Subchapter, all references to financial
						statements and all references to assets, liabilities, earnings, retained
						earnings, and similar accounting items mean such financial statements and such
						accounting items prepared or determined in conformity with generally accepted
						accounting principles then applicable, fairly presenting in conformity with
						generally accepted accounting principles the matters which they purport to
						present, subject to any specific accounting treatment required by the
						Commissioner, this Subchapter, the Banking Law, or any other applicable
						law.
1. Change
						without regulatory effect amending section and adding new NOTE filed 8-19-97
						pursuant to section
						100, title 1, California Code of
						Regulations (Register 97, No. 34).
Note: Authority cited: Section
						  215,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 1 - Citation and Construction › Section 10.5 - Filing of Financial Statements

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Whenever the Commissioner or this Subchapter requires
						that a financial statement of a person be filed with the Commissioner but does
						not require that such financial statement be set forth on a form provided by
						the Commissioner, if the financial statement is available as certified by an
						independent certified public accountant, the financial statement as so
						certified shall be filed with the Commissioner.
1. Change
						without regulatory effect amending section and adding new NOTE filed 8-19-97
						pursuant to section
						100, title 1, California Code of
						Regulations (Register 97, No. 34).
Note: Authority cited: Section
						  215,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 1 - Citation and Construction › Section 10.6 - Counting Number of Persons

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
In determining for purposes of this Subchapter the number
						of persons to whom an offer or sale of securities is made or by whom securities
						are held, the following shall be counted as one person:
(a) A person, his spouse, and any relative of
					 such person or of such spouse who has the same home as such person.
(b) A person and any trust or estate in which
					 such person or any of the persons related to such person as specified in
					 Subdivision (a) or (c) of this Section collectively have the entire beneficial
					 interest (excluding contingent interests).
(c) A person and any corporation or other
					 organization of which such person or any of the persons related to such person
					 as specified in Subdivision (a) or (b) of this Section collectively are the
					 beneficial owners of all the equity securities (excluding directors' qualifying
					 shares) or equity interest.
(d) A
					 corporation or other organization, except that, if such corporation or other
					 organization was formed for the specific purpose of such offer or sale, each
					 beneficial owner of the equity securities of, or an equity interest in, such
					 corporation or other organization shall be counted as one person.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 1 - Citation and Construction › Section 10.7 - NO Implied Requirement of Survey. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1.
						Repealer filed 4-7-97; operative 4-7-97 pursuant to Government Code section
						11343.4(d)
						(Register 97, No. 15).
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 1 - Citation and Construction › Section 10.8 - Notice-Service

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Whenever the Commissioner or this Subchapter requires
						that a bank serve a notice on a customer or creditor, such bank may serve such
						notice either by delivering it to such customer or creditor or by depositing it
						in the United States mail, addressed to the customer or creditor at his last
						address according to the records of the bank, with registered, certified, or
						first-class postage charges prepaid. However, if the document last mailed to
						the customer or creditor at such address was returned by the United States
						Postal Service marked to indicate that the United States Postal Service was
						unable to deliver such document to the customer or creditor at such address,
						the notice shall be deemed to have been given without the bank's delivering or
						mailing it if it is available for the customer or creditor upon written request
						at an appropriate office of the bank for a reasonable period of
						time.
1. Change
						without regulatory effect amending section and adding new NOTE filed 8-19-97
						pursuant to section
						100, title 1, California Code of
						Regulations (Register 97, No. 34).
Note: Authority cited: Section
						  215,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 1 - Citation and Construction › Section 10.9 - Notice-Language

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Whenever this Subchapter calls for a bank to give a
						notice, the Commissioner may require that such bank give such notice not only
						in the English language but also in one or more other languages if the
						circumstances of the persons to whom the notice is to be given make such
						requirement advisable.
1. Change
						without regulatory effect amending section and adding new NOTE filed 8-19-97
						pursuant to section
						100, title 1, California Code of
						Regulations (Register 97, No. 34).
Note: Authority cited: Section
						  215,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 2 - Definitions › Section 10.100 - Scope

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
This Subarticle contains definitions for this Subchapter.
						Subject to additional definitions contained in this Subchapter which are
						applicable to specific provisions of this Subchapter and unless the context
						otherwise requires, the definitions in this Subarticle apply throughout this
						Subchapter.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 2 - Definitions › Section 10.101 - Definitions in Banking Law

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Subject to additional definitions contained in this
						subchapter which are applicable to specific provisions of this subchapter and
						unless the context otherwise requires, the definitions in sections
						99 to
						217, inclusive, of the Financial
						Code apply throughout this subchapter.
1. Change
						without regulatory effect amending section filed 7-2-91 pursuant to section
						100, title 1, California Code of
						Regulations (Register 91, No. 40).
2. Change without regulatory
						effect amending section and NOTE filed 8-21-2019 pursuant to section
						100, title 1, California Code of
						Regulations (Register 2019, No. 34).
Note: Authority cited: Section
						  326,
						  Financial Code. Reference: Sections
						  300 and
						  326,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 10 - Banks › Article 1 - General Provisions › Subarticle 2 - Definitions › Section 10.102 - Percent Equity Security Owner

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
"__ percent equity security owner," when used with
						respect to a corporation or other organization, means any person who owns,
						directly or indirectly, of record or beneficially, the specified percentage or
						more of any class of the equity securities of such corporation or other
						organization.