California Code of Regulations › Title 10 - Investment › Chapter 3 - Commissioner of Financial Protection and Innovation › Subchapter 2 - Corporate Securities › Article 6 - Other Provisions Concerning Exercise of the Commissioner's Authority › Section 260.146 - Requirement of Semi-Annual Report

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Any issuer selling securities pursuant to an open
					 qualification, so long as it is not exempt from this requirement by Section
					 25146 of the Code and is not
					 filing reports pursuant to Section
					 13 (15 USC 78m) or
					 Section 15(d)
					 (15 USC
					 78o(d)) of the Securities
					 Exchange Act of 1934 (15 USC
					 78a et seq.), shall file semi-annual reports
					 with the Commissioner within 120 days after the end of its fiscal year and
					 within 90 days after the end of the first six months of its fiscal year. Such
					 reports shall be filed until the expiration of 18 months after the
					 qualification was effective or until the securities which were the subject of
					 the application have been qualified for trading in this State under Section
					 25131 of the Code, whichever first
					 occurs. Such report shall be made on the following form:
DEPARTMENT OF BUSINESS OVERSIGHT
FILE NO. ______________________________
(Insert file number of qualification to which report
					 relates.)
Date of
					 Report:________________________________________
DEPARTMENT OF BUSINESS OVERSIGHT STATE OF CALIFORNIA
SEMI-ANNUAL REPORT PURSUANT TO SECTION
					 25146 OF THE CORPORATE SECURITIES
					 LAW OF 1968
1. Name of Issuer
___________________________
2. Address of principal executive office of
				  issuer
Number and
							 Street
City
State
Zip Code
___________________________
3. Name and address of person to whom
				  correspondence regarding this report should be addressed
___________________________
4. There are attached hereto as exhibits the
				  following which are hereby incorporated by reference:
Financial Statements. (There should be attached to a report
					 filed as of the end of a fiscal year a balance sheet as of that date and a
					 profit and loss statement for the year then ended, covered by an auditor's
					 report containing an unqualified opinion of an independent certified public
					 accountant or an independent public accountant. There should be attached to a
					 report filed as of the end of the first six months of a fiscal year a balance
					 sheet as of that date and a profit and loss statement for the six-months'
					 period then ended; such statements need not be audited but shall be prepared in
					 accordance with generally accepted accounting principles.)
5. The issuer has duly caused this report to
				  be signed on its behalf by the undersigned, thereunto duly authorized.
______________________________
(Issuer)
By____________________________
(Title)
I certify (or declare) under penalty of perjury under the
					 laws of the State of California that I have read this report and the exhibits
					 thereto and know the contents thereof, and that the statements therein are true
					 and correct.
Executed at__________(Place), on __________(Date),
					 20___.
______________________________
(Signature)
Instructions: The report should be signed by an officer or
					 general partner of the issuer; however, it may be signed by another person
					 holding a power of attorney for such purposes from the issuer and, if signed on
					 behalf of the issuer pursuant to such power of attorney, should include as an
					 additional exhibit a copy of said power of attorney or a copy of the corporate
					 resolution authorizing the person to sign on behalf of the
					 corporation.
1. Amendment
					 of form filed 5-14-69; effective thirtieth day thereafter (Register 69, No.
					 20).
2. Amendment filed 6-12-80; effective thirtieth day thereafter
					 (Register 80, No. 24).
3. Amendment filed 2-11-85; effective
					 thirtieth day thereafter (Register 85, No. 7).
4. Amendment filed
					 1-10-89; operative 2-9-89 (Register 89, No. 2).
5. Change without
					 regulatory effect amending certification filed 9-25-2002 pursuant to section
					 100, title 1, California Code of
					 Regulations (Register 2002, No. 39).
6. Change without regulatory
					 effect amending form headings filed 8-13-2014 pursuant to section
					 100, title 1, California Code of
					 Regulations (Register 2014, No. 33).
Note: Authority cited: Sections
						25146
						and
						25610,
						Corporations Code. Reference: Section
						25146,
						Corporations Code.