Cal. Code Regs. tit. 10 § 10.4463

Current through Register 2024 Notice Reg. No. 52, December 27, 2024

Section 10.4463 - Report Regarding Owners of Securities

Not less than five business days before converting into a subject institution, an applicant shall file with the Commissioner a report stating, with respect to each owner of record of 25 percent or more of any of the issued and outstanding securities of such applicant:

(a) Name.

(b) Address.

(c) Amount and type of securities owned of record.

Cal. Code Regs. Tit. 10, § 10.4463

1. Amendment of first paragraph and new NOTE filed 4-7-97; operative 4-7-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
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).

Note: Authority cited: Section 4831, Financial Code. Reference: Section 4835 and Article 2, Chapter 5, Division 1.5, Financial Code.

1. Amendment of first paragraph and new Note filed 4-7-97; operative 4-7-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).
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).