reglab/statecodes huggingface dataset:
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 2 - Annual Reports › Section 80.8104 - Information Regarding Directors and Executive Officers

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) In this Section, to be "indebted" does
					 not include indebtedness on account of any of the following:
(1) Any amount due for purchases subject to
					 usual trade terms, for ordinary travel and expense advances, or for other
					 transactions in the ordinary course of business.
(2) Any loan made by a bank, savings and loan
					 association, industrial loan company, or securities broker-dealer extending
					 credit under Regulation T of the Board of Governors of the Federal Reserve
					 System, provided that such loans is made in the ordinary course of business, is
					 made on substantially the same terms (including interest rate and collateral)
					 as those prevailing at the time for comparable transactions with other persons,
					 and does not involve more than normal risk of collectibility or present other
					 unfavorable features.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 2 - Annual Reports › Section 80.8105 - Information Regarding Equity Security Owners

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
In case the licensee is not a reporting company and any
						person is known to the licensee to have been a 10 percent (including
						associates) equity security owner of the licensee as of the end of the fiscal
						year or in case the licensee has a parent which is not a reporting company and
						any person is known to the licensee to have been a 10 percent (including
						associates) equity security owner of such parent as of the end of the fiscal
						year, provide the following information with respect to each such 10 percent
						(including associates) equity security owner:
(a) Name.
(b) Business address.
(c) Title of any position which the person
					 holds with the licensee or with a parent of the licensee.
(d) Amount and types of equity securities of
					 the licensee or of a parent of the licensee owned by the person and the
					 person's associates.
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33901,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 2 - Annual Reports › Section 80.8106 - Information Regarding Affiliates

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
In case the licensee had a parent or any significant
						subsidiary as of the end of the fiscal year, provide a list or diagram which
						includes the applicant and which contains the following information with
						respect to each affiliate of the applicant which was, as of the end of the
						fiscal year, (i) a parent of the licensee, (ii) a significant subsidiary of
						such parent, (iii) a significant subsidiary of the licensee, or (iv)
						significantly involved in the payment instrument business of the
						licensee.
(a) State the name of the
					 affiliate.
(b) Show the
					 relationship of the affiliate to the licensee and to each other affiliate in
					 the list or diagram. In case any affiliate which was a subsidiary was not
					 wholly owned by its immediate parent, state the percentage of voting securities
					 of such subsidiary which was owned by such immediate parent or the other basis
					 upon which the subsidiary was controlled by the immediate parent.
(c) State in a word or phrase the principal
					 line of business of the affiliate.
(d) In case the affiliate was significantly
					 involved in the payment instrument business of the licensee, briefly describe
					 such involvement.
1.
						Amendment of subsection (b) filed 4-7-97; operative 4-7-97 pursuant to
						Government Code section
						11343.4(d)
						(Register 97, No. 15).
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33901,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 2 - Annual Reports › Section 80.8107 - Information Regarding California Offices

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
In case the licensee, as of the end of the fiscal year,
						maintained any offices in the State of California at which it transacted
						payment instrument business, provide the following information with respect to
						each such office:
(a) State the
					 address and telephone number of the office.
(b) Describe the payment instrument business
					 conducted at the office.
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33901,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 2 - Annual Reports › Section 80.8108 - Information Regarding California Agents

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
In case the licensee had any California agents as of the
						end of the fiscal year, provide the following information with respect to each
						California agent:
(a) State the name
					 of the California agent.
(b) State
					 the address and, if available, the telephone number of each reporting/remitting
					 office of the California agent.
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33901,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 2 - Annual Reports › Section 80.8109 - Information Regarding Special Reports

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
In case the licensee has not filed with the Commissioner
						any of the special reports which it was required to file since the filing of
						its last quarterly report (or, if the licensee has not filed any quarterly
						report, since it became a licensee), file such special report concurrently with
						the filing of the annual report and explain in the annual report the reasons
						why the licensee failed to file the special report on a timely
						basis.
1. 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
						  33221,
						  33901, and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 2 - Annual Reports › Section 80.8110 - Information Regarding Certain Documents. [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).
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33901,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8200 - Scope

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
This Subarticle contains regulations relating to the
						quarterly report of a licensee.
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8201 - Definition

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
In this Subarticle, "quarter" means the quarter of the
						fiscal year of a licensee next preceding the filing of the quarterly report of
						such licensee.
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8202 - Filing and Information Required

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Not more than 45 days after the end of each quarter
						(except the fourth quarter) of its fiscal year, a licensee shall file with the
						Commissioner a quarterly report containing the information called for in
						Sections 80.8203 to
						80.8211, inclusive, of this
						Chapter.
1. 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
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8203 - Information Regarding Financial Statements

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) In case the licensee is not a reporting
					 company, provide the following financial statements of the licensee on a
					 nonconsolidated basis:
(1) Balance sheet as
					 of the end of the quarter.
(2)
					 Statement of income for the quarter.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8204 - Information Regarding Eligible Securities

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) State whether or not the licensee
					 complied with the provisions of Financial Code Section
					 33567 at
					 all times during the quarter, and, if not, describe the
					 circumstances.
(b) Provide a
					 statement of the eligible securities owned by the licensee as of the end of the
					 quarter, showing the total value of such eligible securities, as determined in
					 accordance with Financial Code Section
					 33560(g),
					 and containing the following information with respect to each eligible
					 security:
(1) Identify the security,
					 including the name of the issuer, the type of the security, and such other
					 information as may be necessary to distinguish the security from other
					 securities issued by the same issuer.
(2) State the value of the security, as
					 determined in accordance with Financial Code Section
					 33560(g).
(3) In case the qualification of the security
					 as an eligible security depends upon the assignment of an eligible rating by an
					 eligible by an eligible securities rating service, state the rating assigned to
					 the security by an eligible securities rating service and identify such
					 eligible securities rating service.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8205 - Information Regarding Extensions of Credit

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) In case the licensee or any affiliate of
					 the licensee which is significantly involved in the payment instrument business
					 of the licensee (other than a licensee or affiliate which is a bank) has
					 extended credit or committed to extend credit in an amount exceeding $25,000
					 directly or indirectly to, or for the benefit of, any agent of the licensee
					 (other than an agent which is a subsidiary of the licensee) and such extension
					 of credit or commitment was outstanding at the end of the quarter, identify the
					 parties and describe the terms of the transaction.
(b) In case any person has made a commitment
					 to extend credit to the licensee and such commitment was outstanding at the end
					 of the quarter, identify such person (or, if the person was a group of banks,
					 identify the lead bank of such group and indicate that it is the lead bank of a
					 group of banks) and describe the terms of the commitment.
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8206 - Information Regarding Changes in Business, Policies, or Operations. [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).
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8207 - Information Regarding Changes in Accounting Policies

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
In case there was any material change in the accounting
						policies of the licensee during the quarter, describe such
						change.
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8208 - Information Regarding Changes in Articles. [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).
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8209 - Information Regarding Changes in Board or Executive Officer Staff. [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).
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8210 - Information Regarding Payment Instrument or Travelers Check Licenses

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) In case the
					 licensee obtained any new payment instrument or travelers check license during
					 the quarter from a governmental agency within the United States, provide the
					 following information with respect to each such license:
(1) Name, address, and, if available,
					 telephone number of the governmental agency by which the license was
					 issued.
(2) Business which the
					 applicant is authorized to transact under the license.
(3) Any material conditions to which the
					 license is subject.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 3 - Quarterly Reports › Section 80.8211 - Information Regarding Filing of Special Reports

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
In case the licensee has not filed with the Commissioner
						any of the special reports which the licensee was required to file since the
						filing of its last quarterly or annual report, whichever was filed more
						recently (or, in case the licensee has not filed any quarterly or annual
						report, since it became a licensee), file such special report concurrently with
						the filing of the quarterly report and explain in the quarterly report the
						reasons why the licensee failed to file the special report on a timely
						basis.
1. 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
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 4 - Special Reports › Section 80.8300 - Scope

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
This Subarticle contains regulations relating to special
						reports of a licensee.
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221,
						  33760,
						  33761,
						  33762, and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 4 - Special Reports › Section 80.8301 - California Offices. [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).
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 4 - Special Reports › Section 80.8302 - California Agents. [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).
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221,
						  33760,
						  33761,
						  33762, and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 4 - Special Reports › Section 80.8303 - Fidelity Bond

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Whenever the coverage provided by a fidelity bond
						covering directors, officers, or employees of a licensee is reduced (including
						any reduction in the scope of coverage with respect to persons or acts covered
						or any reduction in policy limits) upon the initiative of the surety or insurer
						or whenever any such bond is terminated, such licensee shall, within 10
						business days, file with the Commissioner a report describing the
						circumstances.
1. 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
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 4 - Special Reports › Section 80.8304 - Change in Control

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) In
					 this Section, for a person to "take action to acquire control" of a licensee
					 means for the person to:
(1) Make a tender
					 offer for, a request or invitation for tenders of, or an offer to exchange
					 securities for, securities of the licensee or a parent of the licensee, if the
					 person would by consummation thereof acquire control of the licensee;
(2) Make an agreement (including an agreement
					 to merge a parent of the licensee or to purchase securities of the licensee or
					 of a parent of the licensee), if the person would by consummation thereof
					 acquire control of the licensee; or
(3) Acquire control of the
					 licensee.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 4 - Special Reports › Section 80.8305 - Acquisition or Disposition of Assets. [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).
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 4 - Special Reports › Section 80.8306 - Filings with Securities and Exchange Commission

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) Whenever a licensee or a parent of a
					 licensee files with the Securities and Exchange Commission a registration
					 statement (other than a registration statement in the form of Securities and
					 Exchange Commission Form S-8) pursuant to the Securities Act of 1933 and
					 regulations of the Securities and Exchange Commission issued thereunder or a
					 notification pursuant to Regulation A, E, or F of the Securities and Exchange
					 Commission, such licensee shall, within 10 business days, file with the
					 Commissioner a report containing a copy of such document.
(b) Whenever a licensee or a parent of a
					 licensee files with the Securities and Exchange Commission a registration
					 statement, report, proxy or information statement, or other document pursuant
					 to Section
					 12,
					 13, or
					 14 the Securities Exchange Act of
					 1934 or regulations of the Securities and Exchange Commission issued
					 thereunder, such licensee shall, within 10 business days, file with the
					 Commissioner a report containing a copy of such document.
(c) Whenever a licensee or a parent of a
					 licensee files with the Securities and Exchange Commission an amendment of any
					 document referred to in Subdivision (a) or (b) of this Section, such licensee
					 shall, within 10 business days, file with the Commissioner a report containing
					 a copy of such amendment.
1. 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
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 4 - Special Reports › Section 80.8307 - Reports to Holders of Securities. [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).
Note: Authority cited: Section
						  33202,
						  Financial Code. Reference: Sections
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 4 - Special Reports › Section 80.8308 - Defaults and Events of Insolvency

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Whenever any of the following events involving a licensee
						occurs, such licensee shall immediately file with the Commissioner a report
						describing the circumstances:
(a) If
					 the licensee without probable legal cause dishonors or defaults in the payment
					 of any payment instrument, travelers check, note, or other security.
(b) If the licensee or any subsidiary of the
					 licensee applies for an adjudication of bankruptcy, reorganization,
					 arrangement, or other relief under any bankruptcy, reorganization, insolvency,
					 or moratorium law.
(c) If any
					 person applies against the licensee or any subsidiary of the licensee or
					 against the business and property the licensee or of any subsidiary of the
					 licensee for the appointment of a receiver or similar officer or for other
					 relief of the type referred to in Subdivision (b) of this Section, or any such
					 relief is granted.
1. 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
						  33221 and
						  33902,
						  Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 4 - Special Reports › Section 80.8309 - Legal Proceedings

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
					 For purposes of this section:
(1) A
					 proceeding involving a licensee or a subsidiary of a licensee shall not be
					 deemed to be material:
(A) If the proceeding
					 is ordinary routine litigation incidental to the business of the licensee or of
					 the subsidiary; or
(B) If the
					 proceeding involves primarily a claim for damages and if the amount of damages
					 claimed (excluding interest and costs) against the licensee or the subsidiary
					 does not exceed 10 percent of the current assets of the licensee and its
					 subsidiaries on a consolidated basis. For purposes of computing the amount of
					 damages claimed, in case a proceeding presents in large degree the same issues
					 as other proceedings pending or known to be contemplated, the amount of damages
					 claimed in such proceeding shall be deemed to include the amount of damages
					 claimed in such other proceedings.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 80 - Money Transmission › Article 9 - Reports › Subarticle 4 - Special Reports › Section 80.8310 - Criminal Proceedings

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a)
					 Whenever the chief executive officer of a licensee, the chief financial officer
					 of a licensee, or the person in charge of the payment instrument business of a
					 licensee is charged by complaint, information, or indictment with a crime
					 against the interests of, or a crime relating to the business of, such licensee
					 or any parent or subsidiary of the licensee or a crime involving fraud or
					 dishonesty, the licensee shall, within 10 business days, file with the
					 Commissioner a report containing the following information:
(1) State the name of the person charged, and
					 describe the relationship of the person with the licensee.
(2) State the date on which the charge was
					 issued.
(3) State the name and
					 address of the prosecuting agency.
(4) Summarize the allegations made by the
					 prosecuting agency.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.1 - Scope

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
This Subchapter contains illustrations of selected Department
				  forms.
1. New
				  Subchapter 95 (Sections
				  95.1-95.2030, not consecutive)
				  filed 12-29-78; designated effective 3-1-79 (Register 79, No.
				  2).
Note: Authority cited for Subchapter 95 (Sections
					 95.1-95.2030, not consecutive):
					 Sections
					 215,
					 3800.5,
					 31101 and
					 33202,
					 Financial Code. Reference: Divisions 1, 15 and 16, Financial
					 Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.2 - Personal Financial Statement. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
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. Repealer filed 8-11-2015;
				  operative 10-1-2015 (Register 2015, No. 33).
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 95 - Forms › Section 95.3 - Confidential Resume. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
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. Repealer filed 8-11-2015;
				  operative 10-1-2015 (Register 2015, No. 33).
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 95 - Forms › Section 95.10 - Application for Authority to Organize Bank

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The following is an illustration of Department Form
				  10:
Form 10 (7-1-97)
California Department of Business Oversight
APPLICATION FOR AUTHORITY TO ORGANIZE
				  BANK
(Facing Page)
To: Commissioner of Business
						  Oversight
Date: ___________________________
The undersigned hereby apply for authority to organize and
				  establish a corporation under the laws of the State of California to engage
				  in:
( ) commercial banking business ( ) trust business (Check one
				  or both) at ____________________(Street address or vicinity) under the name
				  ____________________ with shareholders' equity of $__________.
The documents attached hereto are hereby referred to any by
				  this reference incorporated herein.
The person authorized to represent the applicants in
				  connection with this application is:
Name: ____________________ Telephone: __________
Address:__________
APPLICANTS
Name and Business or
						  Occupation
Address
Signature
__________________________________________
__________________________________________
__________________________________________
__________________________________________
__________________________________________
(If additional space is required, continue on attached
				  sheet.)
(This is a facing page only. For instructions on completing
				  and signing this application, refer to the Regulations of the Commissioner of
				  Business Oversight. Signatures 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
					 326,
					 Financial Code. Reference: Sections
					 321 and
					 1020,
					 Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.20 - Application by California State Bank for Authority to Establish Office. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
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. Repealer filed 5-6-98;
				  operative 6-5-98 (Register 98, No. 19).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 501 and
					 542,
					 Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.22 - Application by California State Bank for Approval to Relocate Office. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
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. Repealer filed 5-6-98;
				  operative 6-5-98 (Register 98, No. 19).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 420,
					 507 and
					 546,
					 Financial Code.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.24 - Application by California State Bank for Authority to Discontinue Office. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 5-6-98; operative 6-5-98 (Register 98, No.
				  19).
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.60 - Application for Representative's License. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 10-15-81 as an emergency; effective upon filing (Register 81, No. 44). A
				  Certificate of Compliance must be transmitted to OAL within 120 days or
				  emergency language will be repealed on 2-12-82.
2. Certificate of
				  Compliance transmitted to OAL 2-11-82 and filed 3-12-82 (Register 82, No.
				  11).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.62 - Appointment of Superintendent as Agent for Service of Process. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 10-15-81 as an emergency; effective upon filing (Register 81, No. 44). A
				  Certificate of Compliance must be transmitted to OAL within 120 days or
				  emergency language will be repealed on 2-12-82.
2. Certificate of
				  Compliance transmitted to OAL 2-11-82 and filed 3-12-82 (Register 82, No.
				  11).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.64 - Appointment of Superintendent as Agent for Service of Process. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.66 - Application for Approval to Relocate Office of Licensed Representative of Foreign Bank. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 10-15-81 as an emergency; effective upon filing (Register 81, No. 44). A
				  Certificate of Compliance must be transmitted to OAL within 120 days or
				  emergency language will be repealed on 2-12-82.
2. Certificate of
				  Compliance transmitted to OAL 2-11-82 and filed 3-12-82 (Register 82, No.
				  11).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.70 - Application by Foreign Bank to Establish Agency or Branch Office. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 10-15-81 as an emergency; effective upon filing (Register 81, No. 44). A
				  Certificate of Compliance must be transmitted to OAL within 120 days or
				  emergency language will be repealed on 2-12-82.
2. Certificate of
				  Compliance transmitted to OAL 2-11-82 and filed 3-12-82 (Register 82, No.
				  11).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.72 - Appointment of Superintendent as Agent for Service of Process. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 10-15-81 as an emergency; effective upon filing (Register 81, No. 44). A
				  Certificate of Compliance must be transmitted to OAL within 120 days or
				  emergency language will be repealed on 2-12-82.
2. Certificate of
				  Compliance transmitted to OAL 2-11-82 and filed 3-12-82 (Register 82, No.
				  11).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.74 - Application by Foreign Bank for Approval to Accept Foreign Deposits. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 10-15-81 as an emergency; effective upon filing (Register 81, No. 44). A
				  Certificate of Compliance must be transmitted to OAL within 120 days or
				  emergency language will be repealed on 2-12-82.
2. Certificate of
				  Compliance transmitted to OAL 2-11-82 and filed 3-12-82 (Register 82, No.
				  11).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.76 - Application by Foreign Bank for Approval to Relocate Agency or Branch Office. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 10-15-81 as an emergency; effective upon filing (Register 81, No. 44). A
				  Certificate of Compliance must be transmitted to OAL within 120 days or
				  emergency language will be repealed on 2-12-82.
2. Certificate of
				  Compliance transmitted to OAL 2-11-82 and filed 3-12-82 (Register 82, No.
				  11).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.78 - Application by Foreign Bank for Approval to Discontinue Agency or Branch Office. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 10-15-81 as an emergency; effective upon filing (Register 81, No. 44). A
				  Certificate of Compliance must be transmitted to OAL within 120 days or
				  emergency language will be repealed on 2-12-82.
2. Certificate of
				  Compliance transmitted to OAL 2-11-82 and filed 3-12-82 (Register 82, No.
				  11).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.80 - Oath of Manager of Agency or Branch Office of Foreign Bank. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 10-15-81 as an emergency; effective upon filing (Register 81, No. 44). A
				  Certificate of Compliance must be transmitted to OAL within 120 days or
				  emergency language will be repealed on 2-12-82.
2. Certificate of
				  Compliance transmitted to OAL 2-11-82 and filed 3-12-82 (Register 82, No.
				  11).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.82 - Application for Approval and Order: Deposit of Securities by Foreign Bank. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 10-15-81 as an emergency; effective upon filing (Register 81, No. 44). A
				  Certificate of Compliance must be transmitted to OAL within 120 days or
				  emergency language will be repealed on 2-12-82.
2. Certificate of
				  Compliance transmitted to OAL 2-11-82 and filed 3-12-82 (Register 82, No.
				  11).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.84 - Application for Order: Withdrawal of Securities by Foreign Bank. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Repealer
				  filed 10-15-81 as an emergency; effective upon filing (Register 81, No. 44). A
				  Certificate of Compliance must be transmitted to OAL within 120 days or
				  emergency language will be repealed on 2-12-82.
2. Certificate of
				  Compliance transmitted to OAL 2-11-82 and filed 3-12-82 (Register 82, No.
				  11).
Note: Authority cited: Section
					 215,
					 Financial Code. Reference: Sections
					 6 and
					 7, Chapter 97, Statutes of
					 1981.
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.512 - Report of Reserve Condition. [Repealed]

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
1. Change
				  without regulatory effect repealing section filed 7-2-91 pursuant to section
				  100, title 1, California Code of
				  Regulations (Register 91, No. 40).
California Code of Regulations › Title 10 - Investment › Chapter 1 - Commissioner of Business Oversight, Division of Financial Institutions › Subchapter 95 - Forms › Section 95.600 - Notice of Fingerprint Processing Requirements

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
The following is an illustration of Department Form DBO --
				  600:
STATE OF CALIFORNIA -- BUSINESS, CONSUMER SERVICES AND
				  HOUSING AGENCY NOTICE OF FINGERPRINT PROCESSING REQUIREMENTS UNDER THE
				  CALIFORNIA MONEY TRANSMISSION ACT DBO -- 600 NOTICE OF FINGERPRINT PROCESSING
				  REQUIREMENTS UNDER THE CALIFORNIA MONEY TRANSMISSION ACT
The Applicant Live Scan program is a system for the
				  electronic submission of fingerprints and the subsequent automated background
				  check and response. The response time from the Department of Justice when using
				  the Applicant Live Scan program is faster with fewer rejections.
The applicant should complete Department of Justice Form BCIA
				  8016, Request for Live Scan Service. The applicant should indicate Money
				  Transmitter License under "Type of Application." The applicant must take the
				  three-part form to a Live Scan location to have their fingerprints taken by the
				  operator. The applicant's fingerprints will be transmitted electronically to
				  the Department of Justice for processing. The applicant will be required to pay
				  the fees charged by the Department of Justice for processing the fingerprints
				  directly to the Live Scan operator.
Please go to the Attorney General's website at:
				  http://caag.state.ca.us/fingerprints/publications/contact.html for current
				  information concerning the location of live scan terminals. You may also call
				  the Department's Call center at (866) 275-2677 for information on a Live Scan
				  location.
1. Please submit the
				following when applying for a license under the California Money Transmission
				Act, in order to comply with the fingerprint processing requirements of
				Financial Code Sections
				379 and
				2032.
a. Processing fee at the current rate charged
				by the California Department of Justice for each form submitted.
b. D.O.J. Form BCIA 8016, "Requesting Agency
				Copy" as proof of Live Scan completion.