Securities Depository Law

What's New
  • 01/09/2014 - The Commissioner of Business Oversight adopted amendments to various sections of Title 10 of the California Code of Regulations.  The regulations (1) amend license and renewal license application forms under the Corporate Securities Law of 1968 (broker-dealers, agents, investment advisers), the California Finance Lenders Law, the California Residential Mortgage Lending Act, and the Securities Depository Law pursuant to AB 1424 (Chap. 455, Stats. 2011); (2) amend the application for a license under the California Finance Lenders Law regarding operating subsidiaries, reporting of past criminal acts and other violations, and self-certification for passive investors; and (3) adopt the annual report form under the California Finance Lenders Law.  The amendments were filed with the Secretary of State on January 7, 2014 and are effective upon filing with the Secretary of State.  (PRO 18/11)
  • 12/07/12 - The Commissioner of Corporations proposes to adopt and amend various sections of Title 10 of the California Code of Regulations.  This regulatory action proposes to, among other things, amends license and renewal license application forms under the Securities Depository Law regarding AB 1424 (deny, or suspend licenses of certain delinquent taxpayers).  The period within which to comment on this proposed regulatory action ends on January 28, 2013. 
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