California Code of Regulations › Title 10 - Investment › Chapter 3 - Commissioner of Financial Protection and Innovation › Subchapter 6 - California Financing Law › Article 1 - General Provisions › Section 1409 - Officers, Directors, Partners, and Other Persons: Maintenance of Current List with Commissioner: Information Required

Current through Register 2024 Notice Reg. No. 28, July 12, 2024
(a) A licensee shall at all times maintain on
				  file with the Commissioner a current list of officers, directors, and partners
				  in the case of a partnership, and other persons named in the application.
				  Changes in partnerships are limited to the conditions set forth in section
				  22151, subdivision (b) of the Law.
				  In the event of any change, other than transfers between branch offices, in the
				  officers, directors, or partners, or other persons named in the application, a
				  licensee shall file with the Commissioner an amendment to the application
				  containing the same information in relation to such new person(s) as is
				  required in the application, within thirty days from the date of the
				  change.
(b) A licensee on NMLS
				  shall comply with subdivision (a) by submitting changes to the Commissioner
				  through NMLS on Forms MU1, MU2, MU3, and MU4, as applicable.
1. Amendment
					 filed 3-27-78; effective thirtieth day thereafter (Register 78, No.
					 12).
2. Amendment filed 12-3-81; effective thirtieth day thereafter
					 (Register 81, No. 49).
3. Editorial correction of NOTE filed
					 10-13-82 (Register 82, No. 42).
4. Amendment filed 12-29-83;
					 effective thirtieth day thereafter (Register 83, No. 53).
5.
					 Amendment filed 2-21-85; effective thirtieth day thereafter (Register 85, No.
					 8).
6. Change without regulatory effect amending section and NOTE
					 filed 6-14-95 pursuant to section
					 100, title 1, California Code of
					 Regulations (Register 95, No. 24).
7. Amendment of section heading
					 and section filed 11-7-2007; operative 12-7-2007 (Register 2007, No.
					 45).
8. Amendment of section and NOTE filed 4-1-2010 as an
					 emergency; operative 7-31-2010 (Register 2010, No. 14). A Certificate of
					 Compliance must be transmitted to OAL by 9-28-2010 or emergency language will
					 be repealed by operation of law on the following day.
9. Editorial
					 correction of HISTORY 8 (Register 2010, No. 40).
10. Amendment of
					 section and NOTE refiled 9-28-2010 as an emergency, including repealer of
					 subsection (c); operative 9-28-2010 (Register 2010, No. 40). A Certificate of
					 Compliance must be transmitted to OAL by 12-27-2010 or emergency language will
					 be repealed by operation of law on the following day.
11. Amendment
					 of section and NOTE refiled 12-23-2010 as an emergency; operative 12-23-2010
					 (Register 2010, No. 52). A Certificate of Compliance must be transmitted to OAL
					 by 3-23-2011 or emergency language will be repealed by operation of law on the
					 following day.
12. Certificate of Compliance as to 12-23-2010 order
					 transmitted to OAL 3-14-2011 and filed 4-25-2011 (Register 2011, No.
					 17).
13. Amendment of section and NOTE filed 8-5-2021; operative
					 10-1-2021 (Register 2021, No. 32). Transmission deadline specified in
					 Government Code section
					 11346.4(b)
					 extended 60 calendar days pursuant to Executive Order N-40-20 and an additional
					 60 calendar days pursuant to Executive Order N-71-20. Filing deadline specified
					 in Government Code section
					 11349.3(a)
					 extended 60 calendar days pursuant to Executive Order N-40-20 and an additional
					 60 calendar days pursuant to Executive Order
					 N-71-20.
Note: Authority cited: Section
						22150,
						Financial Code. Reference: Sections
						22100,
						22100.5,
						22101,
						22108,
						22109,
						22109.6 and
						22151,
						Financial Code.