Statutes, codes, and regulations
California Code Of Regulations
Title 10 - InvestmentChapter 3 - Commissioner of Financial Protection and InnovationSubchapter 2 - Corporate SecuritiesArticle 13 - General Provisions
Subarticle 2 - Miscellaneous Provisions
Section 260.608.2 - Agent Program Fees

Cal. Code Regs. tit. 10 § 260.608.2

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Current through Register 2024 Notice Reg. No. 24, June 14, 2024
Section 260.608.2 - Agent Program Fees
(a) The fee for filing a Uniform Application for Securities Industry Registration and Transfer Form (Form U-4), pursuant to subsections (b) and (c) of Section 260.210 is $25 for each agent.
(b) Upon filing fingerprints of an agent pursuant to subsection (c) of Section 260.210, a broker-dealer shall reimburse the Department of Business Oversight the fee charged by the Department of Justice (Penal Code Section 11105) for processing Noncriminal Applicant Fingerprints.

Cal. Code Regs. Tit. 10, § 260.608.2

1. New section filed 11-29-79 as an emergency; designated effective 1-1-80 (Register 79, No. 48). Certificate of Compliance included.
2. Amendment filed 3-16-84; designated effective 3-26-84 pursuant to Government Code section 11346.2(d) (Register 84, No. 11).
3. Change without regulatory effect amending subsection (a) filed 11-20-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 9).
4. Amendment filed 6-1-98; operative 6-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 23).
5. Change without regulatory effect amending subsection (b) filed 8-13-2014 pursuant to section 100, title 1, California Code of Regulations (Register 2014, No. 33).

Note: Authority cited: Section 25610, Corporations Code. Reference: Section 25608, Corporations Code.

1. New section filed 11-29-79 as an emergency; designated effective 1-1-80 (Register 79, No. 48). Certificate of Compliance included.
2. Amendment filed 3-16-84; designated effective 3-26-84 pursuant to Government Code section 11346.2(d) (Register 84, No. 11).
3. Change without regulatory effect amending subsection (a) filed 11-20-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 9).
4. Amendment filed 6-1-98; operative 6-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 23).
1. New section filed 11-29-79 as an emergency; designated effective 1-1-80 (Register 79, No. 48). Certificate of Compliance included.
2. Amendment filed 3-16-84; designated effective 3-26-84 pursuant to Government Code section 11346.2(d) (Register 84, No. 11).
3. Change without regulatory effect amending subsection (a) filed 11-20-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 9).
4. Amendment filed 6-1-98; operative 6-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 23).
5. Change without regulatory effect amending subsection (b) filed 8-13-2014 pursuant to section 100, title 1, California Code of Regulations (Register 2014, No. 33).
1. New section filed 11-29-79 as an emergency; designated effective 1-1-80 (Register 79, No. 48). Certificate of Compliance included.
2. Amendment filed 3-16-84; designated effective 3-26-84 pursuant to Government Code section 11346.2(d) (Register 84, No. 11).
3. Change without regulatory effect amending subsection (a) filed 11-20-91 pursuant to section 100, title 1, California Code of Regulations (Register 92, No. 9).
4. Amendment filed 6-1-98; operative 6-1-98 pursuant to Government Code section 11343.4(d) (Register 98, No. 23).
5. Change without regulatory effect amending subsection (b) filed 8-13-2014 pursuant to section 100, title 1, California Code of Regulations (Register 2014, No. 33).