California § 7929.005. 7929.005. (Amended by Stats. 2022, Ch. 452, Sec. 179.)

California Statutes

§ 7929.005. — 7929.005. (Amended by Stats. 2022, Ch. 452, Sec. 179.)

California·Code GOV Government Code - GOV·Div. 10.·Title 1. DIVISION 10. ACCESS TO PUBLIC RECORDS·Part 5. PART 5. SPECIFIC TYPES OF PUBLIC RECORDS·Ch. 16. CHAPTER 16. Regulation of Financial Institutions and Securities

(a)Any information reported to the North American Securities Administrators Association/Financial Industry Regulatory Authority and compiled as disciplinary records that are made available to the Department of Financial Protection and Innovation through a computer system constitutes a public record.

(b)Notwithstanding any other provision of law, upon written or oral request pursuant to Section 25247 of the Corporations Code, the Department of Financial Protection and Innovation may disclose any of the following:

(1)The information described in subdivision (a).

(2)The current license status of a broker-dealer.

(3)The year of issuance of the license of a broker-dealer.

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(a)
Any information reported to the North American Securities Administrators Association/Financial Industry Regulatory Authority and compiled as disciplinary records that are made available to the Department of Financial Protection and Innovation through a computer system constitutes a public record.
(b)
Notwithstanding any other provision of law, upon written or oral request pursuant to Section 25247 of the Corporations Code, the Department of Financial Protection and Innovation may disclose any of the following:
(1)
The information described in subdivision (a).
(2)
The current license status of a broker-dealer.
(3)
The year of issuance of the license of a broker-dealer.

California § 7929.005. (7929.005. (Amended by Stats. 2022, Ch. 452, Sec. 179.)) — published by Counsel Stack Legal Research, free access to 12M+ legal documents.