California Government Code 7929.005 – (a) Any information reported to the North American Securities …
(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 § 25247 of the Corporations Code, the Department of Financial Protection and Innovation may disclose any of the following:
Terms Used In California Government Code 7929.005
- Subdivision: means a subdivision of the section in which the term occurs unless some other section is expressly mentioned. See California Government Code 10
(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.
(Amended by Stats. 2022, Ch. 452, Sec. 179. (SB 1498) Effective January 1, 2023. Operative January 1, 2023, pursuant to Sec. 7931.000.)