Section 80.8306 - Filings with Securities and Exchange Commission(a) Whenever a licensee or a parent of a licensee files with the Securities and Exchange Commission a registration statement (other than a registration statement in the form of Securities and Exchange Commission Form S-8) pursuant to the Securities Act of 1933 and regulations of the Securities and Exchange Commission issued thereunder or a notification pursuant to Regulation A, E, or F of the Securities and Exchange Commission, such licensee shall, within 10 business days, file with the Commissioner a report containing a copy of such document.(b) Whenever a licensee or a parent of a licensee files with the Securities and Exchange Commission a registration statement, report, proxy or information statement, or other document pursuant to Section 12, 13, or 14 the Securities Exchange Act of 1934 or regulations of the Securities and Exchange Commission issued thereunder, such licensee shall, within 10 business days, file with the Commissioner a report containing a copy of such document.(c) Whenever a licensee or a parent of a licensee files with the Securities and Exchange Commission an amendment of any document referred to in Subdivision (a) or (b) of this Section, such licensee shall, within 10 business days, file with the Commissioner a report containing a copy of such amendment.Cal. Code Regs. Tit. 10, § 80.8306
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). Note: Authority cited: Section 33202, Financial Code. Reference: Sections 33221 and 33902, 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).