Cal. Gov. Code § 7929.005
Regulation of Financial Institutions and Securities
Redline — January 1, 2021 → current.View current text →
Current — January 1, 2023
As of January 1, 2021
(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 Business Oversight through a computer system constitutes a public record.
(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 Business Oversight 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.
(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.
Official source: California Legislative Information. Reproduced from public-domain California statutes; confirm against the official source for the current text. Not legal advice.