Cal. Code Regs. tit. 10 § 260.241.5

Current through Register 2024 Notice Reg. No. 38, September 20, 2024

Section 260.241.5 - Notice of Complaint

Each licensed broker-dealer and each licensed investment adviser who has filed a complaint against any of its partners, officers or, directors or, agents employed in California or associated persons (in the case of an investment adviser) with any law enforcement agency, any other regulatory agency having jurisdiction over the securities industry, or with any bonding company regarding any loss arising from alleged acts of such person, shall send a copy of such complaint to the Commissioner, within 10 days following its filing with such other agency or bonding company.

Cal. Code Regs. Tit. 10, § 260.241.5

1. Editorial correction adding NOTE filed 4-6-83 (Register 83, No. 15).
2. Amendment filed 1-7-88; operative 2-6-88 (Register 88, No. 4).

Note: Authority cited: Sections 25241 and 25610, Corporations Code. Reference: Section 25241, Corporations Code.

1. Editorial correction adding NOTE filed 4-6-83 (Register 83, No. 15).
2. Amendment filed 1-7-88; operative 2-6-88 (Register 88, No. 4).