Section 80.170 - Reporting Company"Reporting company" means a person (other than an individual) which meets all of the following requirements:
(a) A class of the equity securities of the person is registered pursuant to Section 12 of the Securities Exchange Act of 1934 and regulations of the Securities and Exchange Commission issued thereunder.(b) The person is required to file reports and other documents under Sections 13 and 14 of the Securities Exchange Act of 1934 and regulations of the Securities and Exchange Commission issued thereunder, has filed all documents so required to be filed for the last three years (or, if the person was subject to such requirements for less than the last three years, for such lesser period), and has filed all documents so required to be filed in a timely manner for the last one year (or, if the person was subject to such requirements for less than the last one year, for such lesser period).(c) In case the person or a subsidiary of the person is subject to Section 80.8306 of this Chapter, the person or such subsidiary has filed with the Commissioner all documents required to be filed under Section 80.8306 for the last three years (or, if the person or the subsidiary was subject to Section 80.8306 for less than the last three years, for such lesser period), and has filed with the Commissioner all documents so required to be filed in a timely manner for the last one year (or, if the person was subject to Section 80.8306 for less than the last one year, for such lesser period).Cal. Code Regs. Tit. 10, § 80.170
1. Change without regulatory effect amending section filed 8-19-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
2. Amendment of NOTE filed 8-11-2015; operative 10-1-2015 (Register 2015, No. 33). Note: Authority cited: Sections 321 and 334, Financial Code. Reference: Division 1.2, Financial Code.
1. Change without regulatory effect amending section filed 8-19-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).
2. Amendment of Note filed 8-11-2015; operative 10/1/2015 (Register 2015, No. 33).