§ 30600 A security depository license remains in effect until surrendered, …
§ 30601 If the commissioner has reason to believe that a licensed securities …
§ 30602 If any licensed securities depository fails to make any report …
§ 30603 If it appears to the commissioner that any licensed securities …
§ 30604 An order issued pursuant to Section 30601 or 30603 shall require the …
§ 30605 The licensed securities depository has 10 days after an order is made …
§ 30606 (a) If a securities depository fails to comply with a final …
§ 30607 The commissioner may commence and prosecute actions and proceedings …
§ 30608 The commissioner may, after notice and a reasonable opportunity to be …
§ 30609 (a) The commissioner may, after appropriate notice and …

Terms Used In California Codes > Financial Code > Division 14 > Chapter 3 - Revocation of License

  • Assets: (1) The property comprising the estate of a deceased person, or (2) the property in a trust account.
  • attorney: means a licensee or former licensee of the State Bar. See California Business and Professions Code 6180.14
  • Bonds: as used in this chapter means the written evidence of any obligation incurred by the board payable out of revenues as provided in this chapter in order to secure funds with which to carry out the purposes of this chapter irrespective of the form of such obligation whether in the form of bonds, notes, debentures, interest bearing certificates or other forms prescribed by the board. See California Government Code 26486
  • County: includes city and county. See California Government Code 19
  • County: includes city and county. See California Business and Professions Code 17
  • Department: means the Department of Food and Agriculture. See California Food and Agricultural Code 32
  • Ex officio: Literally, by virtue of one's office.
  • Fiduciary: A trustee, executor, or administrator.
  • Fraud: Intentional deception resulting in injury to another.
  • Guardian: A person legally empowered and charged with the duty of taking care of and managing the property of another person who because of age, intellect, or health, is incapable of managing his (her) own affairs.
  • Injunction: An order of the court prohibiting (or compelling) the performance of a specific act to prevent irreparable damage or injury.
  • Interest rate: The amount paid by a borrower to a lender in exchange for the use of the lender's money for a certain period of time. Interest is paid on loans or on debt instruments, such as notes or bonds, either at regular intervals or as part of a lump sum payment when the issue matures. Source: OCC
  • Jurisdiction: (1) The legal authority of a court to hear and decide a case. Concurrent jurisdiction exists when two courts have simultaneous responsibility for the same case. (2) The geographic area over which the court has authority to decide cases.
  • law practice: means (a) a law practice conducted by an individual. See California Business and Professions Code 6180.14
  • Lease: A contract transferring the use of property or occupancy of land, space, structures, or equipment in consideration of a payment (e.g., rent). Source: OCC
  • Licensee: means any person authorized by a license, certificate, registration, or other means to engage in a business or profession regulated by this code or referred to in Sections 1000 and 3600. See California Business and Professions Code 23.8
  • Mortgage: The written agreement pledging property to a creditor as collateral for a loan.
  • Nolo contendere: No contest-has the same effect as a plea of guilty, as far as the criminal sentence is concerned, but may not be considered as an admission of guilt for any other purpose.
  • Obligation: An order placed, contract awarded, service received, or similar transaction during a given period that will require payments during the same or a future period.
  • Person: includes any person, firm, partnership, association, corporation, company, limited liability company, syndicate, estate, trust, business trust, or organization of any kind. See California Financial Code 18
  • Person: means any individual, partnership, association, corporation, limited liability company, or any organized group of persons whether incorporated or not. See California Food and Agricultural Code 38
  • Pleadings: Written statements of the parties in a civil case of their positions. In the federal courts, the principal pleadings are the complaint and the answer.
  • Probate: Proving a will
  • Prosecute: To charge someone with a crime. A prosecutor tries a criminal case on behalf of the government.
  • Recourse: An arrangement in which a bank retains, in form or in substance, any credit risk directly or indirectly associated with an asset it has sold (in accordance with generally accepted accounting principles) that exceeds a pro rata share of the bank's claim on the asset. If a bank has no claim on an asset it has sold, then the retention of any credit risk is recourse. Source: FDIC
  • Revenue: as used in this chapter shall mean all fees, rates, charges, rentals or other income and revenue actually received or receivable by or for the account of the board from the operation of any particular project including without limiting the generality of the foregoing interest allowed on any moneys or securities and any proceeds derived from the sale of any securities and any consideration in any way derived from the particular project owned, operated or maintained by the board. See California Government Code 26487
  • Secretary: means the Secretary of Food and Agriculture. See California Food and Agricultural Code 35
  • State: means the State of California, unless applied to the different parts of the United States. See California Business and Professions Code 21
  • Trust account: A general term that covers all types of accounts in a trust department, such as estates, guardianships, and agencies. Source: OCC
  • Writ: A formal written command, issued from the court, requiring the performance of a specific act.