reglab/statecodes huggingface dataset:
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.1010 - Application for License as Business and Industrial Development Corporation

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The following is an illustration of Department Form
				  1010:
Form 1010 (7-1-97)
California Department of Business Oversight
APPLICATION FOR LICENSE AS BUSINESS AND INDUSTRIAL
				  DEVELOPMENT CORPORATION (Facing Page)
To: Commissioner of Business
						  Oversight
Date:___________________________
___________________________
(Name of Applicant)
___________________________
(Street address)
____________________(City), ____________________(County),
				  California __________(Zip Code), hereby applies for a license to transact
				  business as a business and industrial development corporation.
The Applicant proposes to commence transacting business as a
				  business and industrial development corporation on __________(Date).
The documents attached hereto are hereby referred to and by
				  this reference incorporated herein.
______________________________
(Name of Applicant)
By ______________________________
(Signature)
______________________________
(Name and Title)
______________________________
(Telephone)
(This is a facing page only. For instructions on completing
				  and signing this application, refer to the Regulations of the Commissioner of
				  Business Oversight. The signature of the Applicant must be
				  acknowledged.)
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
					 31101,
					 Financial Code. Reference: Sections
					 321 and
					 31107,
					 Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.2010 - Small Business Loan Program: Application for Certification as Lender Participant. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 2-17-83; effective thirtieth day thereafter (Register 83, No.
				  8).
Note: Authority cited: Section
					 3800.5,
					 Financial Code. Reference: Chapter 22, Division 1, Financial
					 Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.2020 - Small Business Loan Program: Application to Record Loan. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 2-17-83; effective thirtieth day thereafter (Register 83, No.
				  8).
Note: Authority cited: Section
					 3800.5,
					 Financial Code. Reference: Chapter 22, Division 1, Financial
					 Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.2030 - Small Business Loan Program: Report of Default/Application for Payment. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 2-17-83; effective thirtieth day thereafter (Register 83, No.
				  8).
Note: Authority cited: Section
					 3800.5,
					 Financial Code. Reference: Chapter 22, Division 1, Financial
					 Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.4010 - Application for License Under Travelers Checks Act. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New section
				  filed 7-16-80; effective 7-2-80; designated effective 9-2-80 (Register 80, No.
				  29).
2. Amendment of section heading and form filed 4-7-97;
				  operative 4-7-97 pursuant to Government Code section
				  11343.4(d)
				  (Register 97, No. 15).
3. Change without regulatory effect amending
				  section filed 8-19-97 pursuant to section
				  100, title 1, California Code of
				  Regulations (Register 97, No. 34).
4. Change without regulatory
				  effect repealing section filed 8-21-2019 pursuant to section
				  100, title 1, California Code of
				  Regulations (Register 2019, No. 34).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Article 3, Chapter 14A, Division 1, Financial
					 Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.4020 - Contract of Applicant for License Under Travelers Checks Act. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New section
				  filed 7-16-80; designated effective 9-2-80 (Register 80, No. 29).
2.
				  Change without regulatory effect amending section and NOTE filed 8-19-97
				  pursuant to section
				  100, title 1, California Code of
				  Regulations (Register 97, No. 34).
3. Change without regulatory
				  effect repealing section filed 8-21-2019 pursuant to section
				  100, title 1, California Code of
				  Regulations (Register 2019, No. 34).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Section
					 1858,
					 Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.4025 - Appointment of Commissioner of Financial Institutions as Agent for Service of Process

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The following is an illustration of Department Form
				  4025:
Form 4025 (7-1-97)
California Department of Financial Institutions
APPOINTMENT OF COMMISSIONER OF FINANCIAL INSTITUTIONS
				  AS AGENT FOR SERVICE OF PROCESS
__________________________________________________________________________________
(Name of Applicant)
(hereinafter referred to as the "Applicant"), which is
				  applying for a license under the California Payment Instruments Law (Division
				  16 (commencing with Section
				  33000) of the California Financial
				  Code), in accordance with California Financial Code Section
				  33261,
				  hereby irrevocably appoints the Commissioner of Financial Institutions of the
				  State of California and his successor from time to time in office be the
				  Applicant's agent to receive service of any lawful process in any noncriminal
				  judicial or administrative proceeding against the Applicant, or any successor,
				  executor, or administrator of the Applicant, which arises under the California
				  Payment Instruments Law or under any regulation or order issued under the
				  California Payment Instruments Law, with the same force and validity as if
				  served personally on the Applicant.
Dated:___________________________
___________________________
(Name of Applicant)
By___________________________
(Signature)
___________________________
(Name and Title)
(The signature of the Applicant must be
				  acknowledged.)
1. New section
				  filed 7-16-80; designated effective 9-2-80 (Register 80, No. 29).
2.
				  Change without regulatory effect amending section heading and section 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. Reference: Section
					 1859,
					 Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.4030 - Authorization for Release of Information. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New section
				  filed 7-16-80; designated effective 9-2-80 (Register 80, No. 29).
2.
				  Change without regulatory effect amending section filed 8-19-97 pursuant to
				  section 100, title 1, California Code of
				  Regulations (Register 97, No. 34).
3. Change without regulatory
				  effect repealing section filed 8-21-2019 pursuant to section
				  100, title 1, California Code of
				  Regulations (Register 2019, No. 34).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Article 4, Chapter 14A, Division 1 and Section
					 1877,
					 Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.4040 - Application for Renewal of License Under Travelers Checks Act. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New Section
				  filed 7-16-80; designated effective 9-2-80 (Register 80, No. 29).
2.
				  Repealer filed 4-7-97; operative 4-7-97 pursuant to Government Code section
				  11343.4(d)
				  (Register 97, No. 15).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Article 3, Chapter 14A, Division 1, Financial
					 Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.5010 - Application for License Under Payment Instruments Law. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. New Section
				  filed 7-16-80; designated effective 9-2-80 (Register 80, No. 29.)
2.
				  Change without regulatory effect amending section filed 8-19-97 pursuant to
				  section 100, title 1, California Code of
				  Regulations (Register 97, No. 34).
3. Repealer filed 8-11-2015;
				  operative 10-1-2015 (Register 2015, No. 33).
Note: Authority cited: Section
					 33202,
					 Financial Code. Reference: Section
					 33220 and Chapter 4, Division 16,
					 Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.5020 - Agreement of Applicant for License Under Payment Instruments Law

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The following is an illustration of Department Form
				  5020:
Form 5020 (7-1-97)
California Department of Financial Institutions
AGREEMENT OF APPLICANT FOR LICENSE UNDER PAYMENT
				  INSTRUMENTS LAW
______________________________________________________________________
(Name of Applicant)
(hereinafter referred to as the "Applicant"), which is
				  applying for a license under the California Payment Instruments Law (Division
				  16 (commencing with Section
				  33000) of the California Financial
				  Code, in accordance with California Financial Code Section
				  33280 and
				  in consideration of the issuance to the Applicant of a license under the
				  California Payment Instruments Law, hereby agrees with the Commissioner of
				  Financial Institutions of the State of California and his successor from time
				  to time in office (hereinafter referred to as the "Commissioner"), that the
				  Applicant shall comply with all applicable provisions of the California Payment
				  Instruments Law and of any regulations or order issued under the Payment
				  Instruments Law.
No waiver by the Commissioner of any failure of the Applicant
				  to comply with the Agreement shall be deemed to be a waiver of any failure to
				  comply thereafter occurring.
The definitions set forth in Article 3 (commencing with
				  Section 33040), Chapter 1 of the
				  California Payment Instruments Law shall apply to the provisions of this
				  Agreement.
This Agreement shall be governed by, and construed in
				  accordance with, the laws of the State of California.
Dated:___________________________
___________________________
(Name of Applicant)
By___________________________
(Signature)
___________________________
(Name and Title)
(The signature of the Applicant must be
				  acknowledged.)
1. New section
				  filed 7-16-80; designated effective 9-2-80 (Register 80, No. 29).
2.
				  Change without regulatory effect amending section filed 8-19-97 pursuant to
				  section 100, title 1, California Code of
				  Regulations (Register 97, No. 34).
Note: Authority cited: Section
					 33202,
					 Financial Code. Reference: Sections
					 33202 and
					 33280, and Chapter 4, Division 16,
					 Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.5025 - Appointment of Commissioner of Business Oversight as Agent for Service of Process

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The following is an illustration of Department Form
				  5025:
Form 5025 (8-12-15)
California Department of Business Oversight
APPOINTMENT OF COMMISSIONER OF BUSINESS OVERSIGHT AS
				  AGENT FOR SERVICE OF PROCESS
_______________________________________________________________________
(Name of Applicant)
(hereinafter referred to as the "Applicant"), which is
				  applying for a licensed under the California Money Transmission Act (commencing
				  with Section
				  2000 of the
				  California Financial Code), in accordance with California Financial Code
				  Section
				  2034,
				  hereby irrevocably appoints the Commissioner of Business Oversight of the State
				  of California and his or her successor from time in office be the Applicant's
				  agent to receive service of any lawful process in any noncriminal judicial or
				  administrative proceeding against the Applicant, or any successor, executor, or
				  administrator of the Applicant, which arises under the California Money
				  Transmission Act or under any regulation or order issued under the California
				  Money Transmission Act, with the same force and validity as if served
				  personally on the Applicant.
Dated:___________________________
___________________________
(Name of Applicant)
By___________________________
(Signature)
___________________________
(Name and Title)
(The signature of the Applicant must be
				  acknowledged.)
1. New section
				  filed 7-16-80; designated effective 9-2-80 (Register 80, No. 29).
2.
				  Change without regulatory effect amending section heading and section filed
				  8-19-97 pursuant to section
				  100, title 1, California Code of
				  Regulations (Register 97, No. 34).
3. Amendment of section heading,
				  section and NOTE filed 8-11-2015; operative 10-1-2015 (Register 2015, No.
				  33).
Note: Authority cited: Sections
					 321,
					 334 and
					 2034,
					 Financial Code. Reference: Section
					 2034,
					 Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.5030 - Authorization for Release of Information

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The following is an illustration of Department Form DBO
				  5030:
Form 5030 (8-12-15)
STATE OF CALIFORNIA -- DEPARTMENT OF BUSINESS OVERSIGHT
				  AUTHORIZATION FOR RELEASE OF INFORMATION (MONEY TRANSMITTERS) DBO
				  5030
AUTHORIZATION FOR RELEASE OF INFORMATION
______________________________________________________________________________
(Name of Applicant)
(hereinafter referred to as the "Applicant"), which is
				  applying for a license under the Money Transmission Act (California Financial
				  Code, Division 1.2, commencing with Section
				  2000), hereby irrevocably
				  authorizes any bank or other financial institution with which the Applicant may
				  at any time transact business and any governmental agency which licenses or
				  regulates money transmitters or other financial institutions and which at any
				  time has information or records regarding the Applicant, to furnish to the
				  Commissioner of Business Oversight of the State of California such information,
				  and to permit her/him to inspect and copy such records, as she/he may request
				  from time to time.
Dated:___________________________
___________________________
(Name of Applicant)
By___________________________
(Signature)
___________________________
(Name and Title)
(Note: The signature of the Applicant must be
				  acknowledged.)
1. Change
				  without regulatory effect adding new section filed 8-19-97 pursuant to section
				  100, title 1, California Code of
				  Regulations (Register 97, No. 34).
2. Amendment of section and NOTE
				  filed 8-11-2015; operative 10-1-2015 (Register 2015, No.
				  33).
Note: Authority cited: Sections
					 321 and
					 334,
					 Financial Code. Reference: Section
					 2032, Chapter 3, Division 1.2 and
					 Section
					 33903,
					 Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 1 - General Provisions › Article 1 - Definitions › Section 100.100 - Terms Defined

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The definitions set forth in Article 2, Chapter 1, Part 1,
					 Division 2 of the Financial Code and Sections
					 1916.5 and
					 1916.6 of the
					 Civil Code are incorporated herein by reference.
1. Change
					 without regulatory effect renumbering former Section
					 240.1 to Section
					 100.100 (Register 87, No. 14). For
					 prior history, see Register 79, No. 21.
Note: Authority cited: Section
						5255,
						Financial Code; and Section
						1916.5, Civil
						Code. Reference: Section
						1916.5 and
						1916.6, Civil
						Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 1 - General Provisions › Article 1 - Definitions › Section 101.137 - Escrow

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
"Escrow" means any transaction wherein one person, for the
					 purpose of effecting the sale, transfer, encumbering, or leasing of real or
					 personal property to another person, delivers any written instrument, money,
					 evidence of title to real or personal property, or other thing of value to a
					 third person to be held by such third person until the happening of a specified
					 event or the performance of a prescribed condition, when it is then to be
					 delivered by such third person to a grantee, grantor, promisee, promisor,
					 obligee, obligor, bailee, bailor, or any agent or employee of any of the
					 latter.
1. New
					 section filed 12-7-88; operative 1-6-89 (Register 88, No.
					 52).
Note: Authority cited: Section
						8053,
						Financial Code. Reference: Section
						6521,
						Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 1 - General Provisions › Article 1 - Definitions › Section 101.138 - Escrow Agent

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
"Escrow agent" means any person engaged in the business of
					 receiving escrows for deposit or delivery.
1. New
					 section filed 12-7-88; operative 1-6-89 (Register 88, No.
					 52).
Note: Authority cited: Section
						8053,
						Financial Code. Reference: Section
						6521,
						Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 2 - Administration › Article 1 - Assessment for Support of Department › Section 102.100 - Assessment for Support of Department

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) The proportion of operating costs and
				  expenses to be assessed against each association shall be the sum of the
				  products of the base assessment rate, or a percentage of the base assessment
				  rate, and the segregated portions of the association's total assets, according
				  to the following table. The base assessment rate shall be determined using the
				  amount of the budget for the ensuing fiscal year plus a reasonable reserve for
				  contingencies and considering the existing surplus and revenue from other
				  sources. The association assets shall be the amount shown on the monthly
				  reports of associations to the commissioner dated April 30.
Total
								Assets
Percentage of
								Base
(In Millions or Fractions of
								Millions)
Assessment
								Rate
First $1
100.0%
Next $9
25.0%
Next $40
15.5%
Next $50
12.5%
Next $400
9.5%
Next $500
7.5%
Next $2,000
5.5%
Next $7,000
3.5%
Next $5,000
2.0%
Excess over $15,000
1.0%
(b)
				  In the levy and collection of an annual assessment under this subchapter, no
				  association shall be assessed for nor permitted to pay less than Twenty
				  Thousand Dollars ($20,000.00).
1. Change
					 without regulatory effect renumbering former Section
					 246 to Section
					 102.100 (Register 87, No. 14). For
					 prior history, see Register 86, No. 18.
Note: Authority cited: Section
						8031 and
						8053,
						Financial Code. Reference: Sections
						8030 and
						8031,
						Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 2 - Administration › Article 2 - Information Available to the Public › Section 102.200 - General

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
This article contains regulations which set forth
					 provisions to make specified information available to the
					 public.
1. Change
					 without regulatory effect renumbering former Section
					 242 to Section
					 102.200 (Register 87, No. 14). For
					 prior history, see Register 72, No. 47.
2. Amendment filed 1-5-89;
					 operative 2-4-89 (Register 89, No. 3).
Note: Authority cited: Section
						8053,
						Financial Code. Reference: Sections
						6253 and
						6254,
						Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 2 - Administration › Article 2 - Information Available to the Public › Section 102.201 - Availability of Public Records

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) The public records of the Department of
				  Savings and Loan ("Department") are open to inspection during the regular
				  office hours of the Department and every citizen has a right to inspect any
				  public record, except as hereinafter provided.
(b) The Commissioner may require any person
				  who wishes to inspect a public record of the Department to file a written
				  request disclosing the following information:
(1) Name of person inspecting the
				  record.
(2) If the person
				  inspecting the record is an agent, the identity of the principal he
				  represents.
(3) Description of the
				  record to be inspected.
(4) Date
				  the record is inspected.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 2 - Administration › Article 2 - Information Available to the Public › Section 102.202 - Public Records

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The term "public record" means any of the following records
					 which are retained by the Department:
(a) Copy of independent audit report filed
				  with the Commissioner under Section
				  8751 of the
				  Financial Code.
If in the judgment of the Commissioner, the public welfare
					 or the welfare of any association, its savers, borrowers, or stockholders
					 demand that any audit, or any information in an audit should not be made
					 public, the Commissioner may withhold such audit or information from inspection
					 by the public for such time as in his judgment is necessary.
(b) Applications, supplements, amendments,
				  exhibits, protests and rebuttals filed under Subchapter 3 of Chapter 2, Title
				  10, California Code of Regulations (New Associations, Branches, Agencies,
				  Changes of Location or Redesignation of Offices, Mergers, Acquisition of
				  Control, Stock Permit, Service Corporation, Trust Powers, Conversions, Change
				  of Name, and Acquiring Assets of Liabilities of another Financial Institution).
				  Tapes of hearings under this subdivision are available in the manner specified
				  under Section
				  102.201 (c)
				  above.
(c) Industry bulletins,
				  notices and promulgations sent to all state associations and other interested
				  parties.
(d) Periodic lists of all
				  state associations with principal office mailing addresses, prepared by the
				  Department.
(e) Notices of public
				  hearings mailed to associations or to other interested parties.
(f) Articles of incorporation and by laws and
				  amendments thereto filed by each association with the Commissioner.
(g) Department monthly bulletins listing
				  decisions rendered.
(h) Copies of
				  decisions on applications by associations, signed by the
				  Commissioner.
(i) Annual or current
				  holding company reports filed by corporations and other forms of business
				  organizations excluding only that information designated as confidential by the
				  Commissioner.
(j) the Department's
				  Annual Report to the Governor.
(k)
				  Tape recordings of public hearings held by the Commissioner
1. Change
					 without regulatory effect renumbering former Section
					 242.3 to Section
					 102.203 (Register 87, No. 14). For
					 prior history, see Register 72, No. 47.
2. Amendment filed 1-5-89;
					 operative 2-4-89 (Register 89, No. 3).
Note: Authority cited: Section
						8053,
						Financial Code. Reference: Sections
						5615,
						5654,
						8050 and
						8053,
						Financial Code; and Sections
						6253 and
						6254,
						Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 2 - Administration › Article 2 - Information Available to the Public › Section 102.203 - Confidential Records

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
				  Records or parts of records of applications shall not be public if the
				  applicant designates such records as confidential, gives sufficient reasons for
				  confidential treatment and the Commissioner finds good cause for treating such
				  records as confidential.
(b)
				  Information contained in an application which the Commissioner has designated
				  as confidential shall be excluded from the Public records.
(c) Any other records of the Department not
				  specifically referred to in these regulations will be treated as confidential
				  pursuant to the provisions of Section
				  6254 of
				  the Government Code and not open for public inspection unless the commissioner
				  shall make such records public upon a finding that disclosure is not contrary
				  to the interests of the association, its savers, borrowers or stockholders, or
				  that on the facts of the particular case the public interest served by
				  disclosure of the record clearly outweighs the public interest served by not
				  making the record public.
1. Change
					 without regulatory effect renumbering former Section
					 242.3 to Section
					 102.203 (Register 87, No. 14). For
					 prior history, see Register 72, No. 47.
2. Lettering of existing
					 regulation as subsection (c), new subsections (a) and (b), and changes without
					 regulatory effect filed 1-5-89; operative 2-4-89 (Register 89, No.
					 3).
Note: Authority cited: Section
						8053,
						Financial Code. Reference: Sections
						6253 and
						6254,
						Government Code; and Sections
						8050 and
						8053,
						Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 2 - Administration › Article 3 - Conflict of Interest Code [Repealed] › Section 102.300 - General Provisions. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Change
					 without regulatory effect renumbering former section
					 248 to section
					 102.300 (Register 87, No. 14). For
					 prior history, see Register 81, No. 9.
2. Amendment filed 2-27-92;
					 operative 3-30-92. Submitted to OAL for printing only. Approved by Fair
					 Political Practices Commission 1-21-92 (Register 92, No. 12).
3.
					 Amendment of second paragraph and Appendix filed 12-15-95; operative 1-14-96.
					 Approved by Fair Political Practices Commission 10-9-95 (Register 95, No.
					 50).
4. Editorial correction of Appendix (Register 97, No.
					 19).
5. Repealer of article 3, section and appendix filed 11-23-99;
					 operative 12-23-99. Approved by Fair Political Practices Commission 10-8-99
					 (Register 99, No. 48).
Note: Authority cited: Section
						87300 and
						87306,
						Government Code. Reference: Sections
						87300-
						87302 and
						87306,
						Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.100 - Terms Defined

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
				  "Party of record" is the original applicant, a competing applicant, or an
				  objector of record.
(b) "Original
				  applicant" is the association which first files for a particular
				  location.
(c) "Competing applicant"
				  is a second applicant for a new facility to be located in an area of preemption
				  of a proposed new facility contained in a pending application filed with the
				  commissioner.
(d) "Application" for
				  the purposes of this subchapter includes the applications filed by the
				  applicant association and all other California associations under common
				  control with the applicant association.
(e) "Objector of record" is a person who has
				  filed a written protest in compliance with Section
				  103.120(e).
(f) "Standard Metropolitan Statistical Area"
				  or "SMSA" has the same meaning as currently defined by the United States
				  Government.
(g) Computation of
				  time.
(1) If the last day for the performance
				  of any act falls on a Saturday or holiday, the act must be performed on the
				  business day immediately following the Saturday or holiday. "Holiday" means a
				  day specified in Sections
				  6700 and
				  6701 of
				  the Government Code. "Business day" means any day other than a Saturday or
				  holiday.
(2) The time in which any
				  act is required to be performed by these regulations shall be computed by
				  excluding the first day and including the last.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.101 - Applications

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Applications
				  for proposed new domestic savings and loan associations or savings banks;
				  proposed branches of existing domestic associations; changes of location or
				  designation of any office; agency; conversions from a federal to state
				  association; changes of name; or amendments of articles of incorporation shall
				  comply with the law and with such instructions, rules and regulations as the
				  commissioner may publish from time to time.
(b) In approving any application under the
				  provisions of this subchapter, the commissioner may impose as conditions of
				  approval any lawful limitations or restrictions which are deemed necessary or
				  appropriate.
1. Change
					 without regulatory effect renumbering former Section
					 145.1 to Section
					 103.101 (Register 87, No. 14). For
					 prior history, see Register 85, No. 3.
Note: Authority cited: Section
						8403,
						Financial Code. Reference: Sections
						5102,
						5500,
						5654 and
						5713,
						Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.102 - Filing Procedures

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
				  Places of filing. Applications may be filed, together with filing fee, at
				  either the San Francisco office or the Los Angeles office of the Department of
				  Savings and Loan.
(b) Number of
				  copies. Unless specified otherwise, the following number of copies of the
				  application and the accompanying documents shall be filed at a Department
				  office:
(1) Applications--in
				  triplicate
(2) Biographical
				  Statements--in duplicate
(3)
				  Affidavits--in triplicate
(4)
				  Financial Statements--in duplicate
(5) Fingerprints--two originals
(6) Large maps, charts or demonstrative
				  exhibits--original
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.104 - Previously Filed Applications

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) No association shall have more than two
				  applications for all types of facilities pending at any one time, except as
				  provided in this section.
No application for any type of facility shall be accepted
					 for filing if at the time of filing the association has more than three
					 approved but unopened facilities of all types.
(b) An application for a change of location
				  of an existing facility shall not be considered a pending application under
				  this section.
(c) If the branch
				  application is to serve a primary service area of low- and moderate-income
				  families, located in an inner-city area that is inadequately served by existing
				  savings and loan facilities, the commissioner may approve such application even
				  though the applicant has other applications pending. The application shall not
				  be deemed a pending application under this section.
The applicant shall submit sufficient information to
					 satisfy the commissioner that:
(1) The
				  branch is to be located within an inner-city area which is characterized by
				  low- and moderate-income families, chronic high unemployment, a high percentage
				  of welfare recipients, and substandard housing; and
(2) The branch will fulfill the objectives of
				  granting loans in such area, particularly for construction or rehabilitation of
				  housing, stimulating thrift and providing financial guidance among low- and
				  moderate-income families, and providing opportunities for employment or job
				  training for residents of such area.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.106 - Facilities in Unopened Regional Shopping Centers

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) General. The provisions of this section
				  govern unopened RSC's. If the RSC has opened and is in operation an application
				  shall be handled under the provisions of Section
				  103.103 unless expressly excepted.
An RSC shall be considered open when one or more major
					 department stores have opened for business with the general public. For
					 purposes of this section, references to new facilities in an unopened RSC shall
					 include new facilities located within one-quarter of a mile of the perimeter of
					 such RSC.
(b) Preemptions:
(1) The area of preemption of a new
				  association or branch located within an unopened RSC is as defined in Section
				  103.103(a)(6).
(2) The time period of preemption of a new
				  association or branch in an unopened RSC shall be a period of 36 months from
				  the date of approval, a period of nine months from the date of opening of such
				  new association or branch or nine months from the date of opening of the RSC,
				  whichever occurs first.
If a second application is approved under the provisions of
					 this section, the time period of preemption shall be as set forth in this
					 subsection.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.107 - New Associations-Capital Requirements

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Application. An application for approval
				  of a new guarantee stock or mutual association must comply with current
				  instructions issued by the commissioner.
(b) Guarantee Stock. A new guarantee stock
				  association should have guarantee stock with a par value or stated value of at
				  least $8 per share upon application for approval.
1. Change
					 without regulatory effect renumbering former Section
					 145.7 to Section
					 103.107 (Register 87, No. 14). For
					 prior history, see Register 82, No. 16.
Note: Authority cited: Section
						5255,
						Financial Code. Reference: Sections
						5500-
						5515,
						6456 and
						6457,
						Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.108 - Insurance of Accounts

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
A savings and loan association must have its accounts
					 insured by the Federal Savings and Loan Insurance Corporation before accepting
					 savings deposits.
1. Change
					 without regulatory effect renumbering former Section
					 145.8 to Section
					 103.108 (Register 87, No. 14). For
					 prior history, see Register 82, No. 16.
Note: Authority cited: Section
						5255,
						Financial Code. Reference: Section
						9100,
						Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.109 - Foreign Associations-Establishment of Principal Office

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) The procedure to be followed by a foreign
				  association licensed to transact a savings and loan business in the State of
				  California as of September 15, 1935, which has ceased to do business within the
				  State of California subsequent to September 1, 1935, shall be as follows:
(1) Such foreign association shall comply
				  with all of the provisions of Sections
				  5800 through
				  5814 of the law prior to opening
				  or reopening its office in California.
(2) Such foreign association shall file an
				  application for its office in California as if it were a domestic association
				  filing an application for a branch office pursuant to the provisions of Chapter
				  5, Part I, of the law, commencing at Section
				  6000 and Subchapter 3, Article 1,
				  Chapter 2, Title 10, of the California Administrative Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.110 - Application for a Service Office or an Executive or Administrative Headquarters Office

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) An
				  application for permission to establish or change the location of a service
				  office or an executive or administrative headquarters office of an association
				  will not be approved unless the application contains evidence satisfactory to
				  the commissioner that the proposed office will not be used to conduct or
				  transact a savings business. The application shall include an affirmative
				  statement that the association will not in any manner advertise, inform the
				  public, its account holders or borrowers that savings deposits or withdrawals
				  will be permitted.
(b) The
				  application shall indicate whether it is for a service office or an executive
				  or administrative headquarters office and shall include the following
				  information:
(1) The street address of the
				  proposed office, and the city and county in which located;
(2) A description of the premises, including
				  the number of floors in the building, size of the proposed premises and the
				  location of the office in the building;
(3) If the office premises are to be leased
				  by the association, a description of the lease and the name and address of the
				  record owner of the premises;
(4)
				  The cost of the premises and the estimated cost of furnishing and equipping the
				  premises, including leasehold improvements of leased premises;
(5) A detailed list and description of the
				  activities and functions to be performed in the premises;
(6) A description of the sign or signs, both
				  exterior and interior, to be used;
(7) A description of the public access to the
				  premises;
(8) A list of the
				  executive and administrative positions which will be officed at the premises
				  for an executive or administrative headquarters office; and the method of
				  operation of the office, including a statement of the number and job
				  description of the personnel proposed to be employed in the premises;
				  and
(9) A statement setting forth
				  the reasons justifying the need for the proposed premises.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.111 - Hearing

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) At the time and
				  place set for hearing by the commissioner, each party of record may present
				  oral argument with respect to the application and with respect to the documents
				  and briefs filed therein, but the oral argument shall be based on the written
				  material which has been filed in connection with the application or protest and
				  shall not include new information. The hearing officer may limit the amount of
				  time for oral argument of each party of record; however, not more than one hour
				  shall be allowed for all oral argument against an application and not more than
				  one hour shall be allowed for all oral argument in favor of an application. In
				  the event that a person appears at such hearing in protest without having filed
				  any documents or briefs as provided in Section
				  103.120(e), such
				  person may make an oral statement limited to not more than 15 minutes in
				  duration, or such shorter time as may be allowed by the hearing
				  officer.
(b) A hearing for branch
				  applications will be scheduled only if the commissioner considers it to be
				  necessary. Protests from objectors of record and competing applicants will be
				  considered by the commissioner in making a determination.
1. Change
					 without regulatory effect renumbering former Section
					 146.1 to Section
					 103.111 (Register 87, No. 14). For
					 prior history, see Register 82, No. 16.
Note: Authority cited: Section
						5255,
						Financial Code. Reference: Sections
						5258,
						5510,
						5511,
						5700 and
						6005,
						Financial Code; and Section
						11500,
						Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.112 - Denial Without Hearing

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
If the commissioner determines that an application should
					 be denied without a hearing, a written denial will be issued.
1. Change
					 without regulatory effect renumbering former Section
					 146.2 to Section
					 103.112 (Register 87, No. 14). For
					 prior history, see Register 82, No. 16.
Note: Authority cited: Section
						5255,
						Financial Code. Reference: Sections
						5513 and
						5513.5,
						Financial Code; and Section
						11500,
						Government Code.
California Code of Regulations › Title 10 - Investment › Chapter 2 - Savings and Loan Commissioner › Subchapter 3 - Applications and Hearings › Article 1 - Applications and Hearings: New Facilities, Branches, Changes of Location, Agencies, Conversions from a Federal to State Association, Changes of Name and Amendments of Articles of Incorporation › Section 103.113 - Hearing Officer

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Every hearing shall be held before a hearing officer who
					 shall be the commissioner or an authorized representative deputized pursuant to
					 Section 5203 of the law.
1. Change
					 without regulatory effect renumbering former Section
					 146.32 to Section
					 103.113 (Register 87, No. 14). For
					 prior history, see Register 82, No. 16.
Note: Authority cited: Section
						5255,
						Financial Code. Reference: Section
						5203,
						Financial Code.