Cal. Code Regs. tit. 10 § 2611.01

Current through Register 2024 Notice Reg. No. 45, November 8, 2024

Section 2611.01 - Report of Transactions Required

Reports of Transactions shall be made in duplicate and shall be sworn (or, where so authorized by statute in the place where the verification is made, certified under penalty of perjury) to be true and correct. They shall allege sufficient facts to show the following:

A. The number and amount of each kind of securities sold.

B. The gross proceeds and the net proceeds of such sale.

C. The disposition of such proceeds.

D. Whether conditions of the permit governing the authorized transactions were complied with.

E. In the case of preorganization, soliciting or negotiating permit, the results of the authorized action.

F. Any other specific information required by the permit. (Secs. 844, 843)

Cal. Code Regs. Tit. 10, § 2611.01