Cal. Code Regs. tit. 10 § 1726

Current through Register 2024 Notice Reg. No. 37, September 13, 2024

Section 1726 - Notification of Required Membership Fees to Escrow Agents' Fidelity Corporation and Personnel

(a) The Commissioner shall be notified in writing by the Escrow Agents' Fidelity Corporation of the escrow agent's payment to the corporation of the required membership fees for those escrow agents subject to membership pursuant to subdivisions (a) and (c) of Section 17312 of the Financial Code and the escrow agent shall notify the Commissioner, on the form set forth in subdivision (b) furnished by the Commissioner, the names of any officer, director, trustee, employee or other person directly or indirectly compensated by the escrow agent before allowing the person in the regular discharge of his/her duties to have access to moneys or negotiable securities belonging to or in the possession of the escrow agent, or to draw checks upon the escrow agent or the trust funds of the escrow agent.

(b) The following form shall be used to notify the Commissioner pursuant to subsection (a):

Fee: $10.00 + DOJ

Noncriminal Applicant

Fingerprint Fee

Receipt No. __________

STATE OF CALIFORNIA DEPARTMENT OF BUSINESS OVERSIGHT

320 West 4th Street, Suite 750

Los Angeles, California 90013-1105

(213) 576-7690

NOTICE OF OFFICERS, DIRECTORS, TRUSTEES, EMPLOYEES OR OTHER PERSONS DIRECTLY OR INDIRECTLY COMPENSATED BY ESCROW AGENTS

OFFICIAL USE ONLY

LAST NAME __________

Date submitted CII: __________

Applicant I.D. # __________

PLEASE PRINT OR TYPE

___________________________		File No. ___________________________
Name of Company

ADDRESS OF MAIN OFFICE:

___________________________
Street	City	State	ZIP Code

___________________________

EMPLOYING BRANCH OFFICE:

APPLICANT'S NAME: ______________________________Last______________________________First______________________________Middle

POSITION HELD OR TO BE HELD:

___________________________

HOME ADDRESS:

___________________________

___________________________
Street	City	State	ZIP Code

DATE OF BIRTH: ____________________Month____________________Day__________Year PLACE OF BIRTH: ______________________________

___________________________

DRIVER'S LICENSE NUMBER:

HEIGHT: ____________________ WEIGHT: ____________________ SEX: ____________________ COLOR OF EYES: ____________________

COLOR OF HAIR: ____________________

* Fees should include the Department of Business Oversight's filing fee of ($10.00) and the fee charged by the Department of Justice (Section 11105, Penal Code) for processing Noncriminal Applicant Fingerprints.

(c) The fee for filing a notice pursuant to subsection (b) of this section is $10.00 for each notice plus the fee charged by the Department of Justice (Section 11105, Penal Code) for processing fingerprints and certain information provided by the applicant on the form.

(d) If the fingerprints of an individual named in a notice filed pursuant to subsection (b) of this section are not on file with the Commissioner, the escrow agent shall file with the notice fingerprint information pursuant to California Penal Code Section 11077.1 for such individual. Information as to whether or not an individual's fingerprints are on file with the Commissioner may be obtained from any office of the Commissioner. Upon filing the fingerprints of such person, an escrow agent shall reimburse the Department of Business Oversight the actual amount then currently charged by the Department of Justice for processing the fingerprints.

Cal. Code Regs. Tit. 10, § 1726

1. Change without regulatory effect of subsection (a) filed 3-27-86; effective thirtieth day thereafter (Register 86, No. 13). For prior history, see Register 85, No. 12.
2. Change without regulatory effect pursuant to section 100(b)(3), title 1, California Code of Regulations filed 12-15-89; operative 1-14-90 (Register 90, No. 1).
3. Change without regulatory effect amending subsection (b) filed 4-26-90 pursuant to section 100, title 1, California Code of Regulations. Printing delayed due to numerical error (Register 90, No. 41).
4. Change without regulatory effect amending subsections (b) and (c) filed 4-26-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 41).
5. Editorial correction of printing error in subsection (a), form in subsection (b), and HISTORY 4 (Register 91, No. 36).
6. Editorial correction of form in subsection (b) (Register 95, No. 12).
7. Change without regulatory effect amending form filed 5-24-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 22).
8. Amendment of section and NOTE filed 7-21-2003; operative 7-21-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 30).
9. Change without regulatory effect amending subsection (d) and amending NOTE filed 11-23-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 47).
10. Change without regulatory effect amending form within subsection (b) and subsection (d) filed 8-13-2014 pursuant to section 100, title 1, California Code of Regulations (Register 2014, No. 33).

Note: Authority cited: Sections 17203.1 and 17400, Financial Code. Reference: Sections 17203.1, 17207, 17209, 17209.1 and 17312, Financial Code; and Section 11077.1, Penal Code.

1. Change without regulatory effect of subsection (a) filed 3-27-86; effective thirtieth day thereafter (Register 86, No. 13). For prior history, see Register 85, No. 12.
2. Change without regulatory effect pursuant to section 100(b)(3), title 1, California Code of Regulations filed 12-15-89; operative 1-14-90 (Register 90, No. 1).
3. Change without regulatory effect amending subsection (b) filed 4-26-90 pursuant to section 100, title 1, California Code of Regulations. Printing delayed due to numerical error (Register 90, No. 41).
4. Change without regulatory effect amending subsections (b) and (c) filed 4-26-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 41).
5. Editorial correction of printing error in subsection (a), form in subsection (b), and HISTORY4 (Register 91, No. 36).
6. Editorial correction of form in subsection (b) (Register 95, No. 12).
7. Change without regulatory effect amending form filed 5-24-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 22).
8. Amendment of section and Note filed 7-21-2003; operative 7-21-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 30).
9. Change without regulatory effect amending subsection (d) and amending Note filed 11-23-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 47).

1. Change without regulatory effect of subsection (a) filed 3-27-86; effective thirtieth day thereafter (Register 86, No. 13). For prior history, see Register 85, No. 12.
2. Change without regulatory effect pursuant to section 100(b)(3), title 1, California Code of Regulations filed 12-15-89; operative 1-14-90 (Register 90, No. 1).
3. Change without regulatory effect amending subsection (b) filed 4-26-90 pursuant to section 100, title 1, California Code of Regulations. Printing delayed due to numerical error (Register 90, No. 41).
4. Change without regulatory effect amending subsections (b) and (c) filed 4-26-90 pursuant to section 100, title 1, California Code of Regulations (Register 90, No. 41).
5. Editorial correction of printing error in subsection (a), form in subsection (b), and HISTORY 4 (Register 91, No. 36).
6. Editorial correction of form in subsection (b) (Register 95, No. 12).
7. Change without regulatory effect amending form filed 5-24-99 pursuant to section 100, title 1, California Code of Regulations (Register 99, No. 22).
8. Amendment of section and Note filed 7-21-2003; operative 7-21-2003 pursuant to Government Code section 11343.4 (Register 2003, No. 30).
9. Change without regulatory effect amending subsection (d) and amending Note filed 11-23-2005 pursuant to section 100, title 1, California Code of Regulations (Register 2005, No. 47).
10. Change without regulatory effect amending form within subsection (b) and subsection (d) filed 8-13-2014 pursuant to section 100, title 1, California Code of Regulations (Register 2014, No. 33).