California Insurance Code

§ 853

INS § 853Div. 1 · Part 2 · Ch. 1 · Art. 8

Statute text

Every broker shall, at such times as the commissioner requires, make and file in the office of the commissioner a true and correct statement concerning any security sold or offered for sale by the broker. The statement shall show:

(a)The name and location of the principal office of the issuer of such security.

(b)The names of the issuer’s managing officers if it is a corporation, or of its members if it is a partnership.

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Legislative history

Enacted by Stats. 1935, Ch. 145.