1. (a) Whenever a licensee files with the Securities and Exchange Commission a registration statement pursuant to the Securities Act of 1933 or a notification pursuant to Regulation A, E, or F of the Securities and Exchange Commission with respect to the offer or sale of any security issued by such licensee, the licensee shall concurrently file with the Commissioner a report containing a copy of such registration statement or of such notification, as the case may be.
2. (b) Whenever a licensee files with the Securities and Exchange Commission a registration statement, report, or proxy statement pursuant to the Securities Exchange Act of 1934, such licensee shall concurrently file with the Commissioner a report containing a copy of such registration statement, report, or proxy statement, as the case may be.
3. (c) Whenever a licensee files with the Securities and Exchange Commission an amendment of any document referred to in Subdivision (a) or (b) of this Section, such licensee shall concurrently file with the Commissioner a report containing a copy of such amendment.

Note: Authority cited: Section 31101, Financial Code. Reference: Section 31506, Financial Code.

History

1. Amendment of subsection (b) and new Note filed 4-7-97; operative 4-7-97 pursuant to Government Code section 11343.4(d) (Register 97, No. 15).

2. Change without regulatory effect amending section filed 8-19-97 pursuant to section 100, title 1, California Code of Regulations (Register 97, No. 34).