Statute · California Government Code
Cal. Gov't Code § 7929.005 — Regulation of Financial Institutions and Securities
Cal. Gov't Code § 7929.005
- Type
- Statute
- Source
- California Government Code
- Jurisdiction
- California
- Date
- 2023-01-01
- Current through
- Nov 2, 2026 (California Legislative Counsel)
(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…
Citator
Cal. Gov't Code § 7929.005 — Regulation of Financial Institutions and Securities is in force in the current edition of the Code, and nothing recorded condemns it.
(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 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.