California Code
Financial Code - FIN
DIVISION 14 - SECURITIES DEPOSITORIES

CHAPTER 1 - Application of This Division

Section 30000. - 30000. This division is known and may be cited as...

Section 30001. - 30001. Unless the context otherwise requires, the definitions set forth...

Section 30002. - 30002. “Commissioner” means the Commissioner of Financial Protection and Innovation....

Section 30003. - 30003. “Person” means, in addition to the singular, persons, group...

Section 30004. - 30004. “Securities depository” means any person or group of persons...

Section 30005. - 30005. This division does not apply to: (a) A securities...

Section 30006. - 30006. The commissioner may establish such rules and regulations as...

CHAPTER 2 - License

Section 30200. - 30200. It shall be unlawful for any person to operate...

Section 30201. - 30201. A securities depository shall only be operated by a...

Section 30202. - 30202. The commisioner shall charge and collect the following fees:...

Section 30203. - 30203. All money received by the commissioner shall be paid...

Section 30204. - 30204. An application for a securities depository license shall be...

Section 30205. - 30205. Upon the receipt of a proper and complete application...

Section 30206. - 30206. The commissioner may refuse to issue any license being...

Section 30207. - 30207. No licensee, or any other person, shall solicit deposits...

Section 30208. - 30208. A securities depository license is not transferable or assignable....

Section 30209. - 30209. Any person who operates a securities depository, or solicits...

Section 30210. - 30210. Every person subject to this division shall keep and...

Section 30211. - 30211. The business, accounts and records of every person licensed...

Section 30212. - 30212. The actual cost of every inspection and examination shall...

Section 30213. - 30213. (a) Every person subject to this division shall submit...

Section 30214. - 30214. If any person subject to this division fails to...

Section 30215. - 30215. If the commissioner, as a result of any examination...

Section 30216. - 30216. Whenever in the opinion of the commissioner any person...

Section 30217. - 30217. The commissioner may from time to time make, amend,...

Section 30218. - 30218. (a) It is unlawful for any person to knowingly...

CHAPTER 3 - Revocation of License

Section 30600. - 30600. A security depository license remains in effect until surrendered,...

Section 30601. - 30601. If the commissioner has reason to believe that a...

Section 30602. - 30602. If any licensed securities depository fails to make any...

Section 30603. - 30603. If it appears to the commissioner that any licensed...

Section 30604. - 30604. An order issued pursuant to Section 30601 or 30603...

Section 30605. - 30605. The licensed securities depository has 10 days after an...

Section 30606. - 30606. (a) If a securities depository fails to comply with...

Section 30607. - 30607. The commissioner may commence and prosecute actions and proceedings...

Section 30608. - 30608. The commissioner may, after notice and a reasonable opportunity...

Section 30609. - 30609. (a) The commissioner may, after appropriate notice and opportunity...

CHAPTER 4 - Hearings

Section 30700. - 30700. The commissioner, and all persons designated by him, may...

Section 30701. - 30701. All of the provisions of Chapter 2 (commencing with...

Section 30702. - 30702. The authority to make or conduct any examination, investigation,...

Section 30703. - 30703. All hearings provided for in this division shall be...

Section 30704. - 30704. Every order, decision, license or other official act of...