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Corporations Code - CORP - CORP § 28039
Corporations Code - CORP - CORP § 28039
“Licensee” means a company that is licensed under this division.
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Corporations Code - CORP - CORP § 28040
Corporations Code - CORP - CORP § 28040
“Officer” means either of the following: (a) When used with respect to a corporation, any person appointed or designated as an officer of the corporation by or pursuant to applicable law or the articles of incorporation or bylaws of the corporation or any person who performs with
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Corporations Code - CORP - CORP § 28041
Corporations Code - CORP - CORP § 28041
“Order” means any approval, consent, authorization, exemption, denial, prohibition, or requirement applicable to a specific case issued by the commissioner. “Order” includes any condition of a license and any agreement made by any person with the commissioner under this division.
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Corporations Code - CORP - CORP § 28042
Corporations Code - CORP - CORP § 28042
“Parent,” when used with respect to a specified person other than a natural person, means any person other than a natural person that controls the specified person, directly or indirectly, through one or more intermediaries.
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Corporations Code - CORP - CORP § 28043
Corporations Code - CORP - CORP § 28043
“Person” means any natural person, proprietorship, joint venture, partnership, trust, business trust, syndicate, association, joint stock company, corporation, limited liability company, government, agency of any government, or any other organization. However, “person,” when used
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Corporations Code - CORP - CORP § 28044
Corporations Code - CORP - CORP § 28044
“Principal security holder,” means any person who owns, directly or indirectly, of record or beneficially, securities representing 10 percent or more of the voting power of the issuer of those securities.
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Corporations Code - CORP - CORP § 28045
Corporations Code - CORP - CORP § 28045
“To provide financing assistance to a person” means to purchase securities issued by the person, either directly from the person, or indirectly through a securities underwriter.
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Corporations Code - CORP - CORP § 28046
Corporations Code - CORP - CORP § 28046
“Security” has the meaning set forth in Section 25019.
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Corporations Code - CORP - CORP § 28047
Corporations Code - CORP - CORP § 28047
“Small business firm” means a person that proposes to transact, or transacts, business on a regular and continuous basis in California and, together with its affiliates, has a net worth of not more than eighteen million dollars ($18,000,000) and average net income after federal i
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Corporations Code - CORP - CORP § 28047.1
Corporations Code - CORP - CORP § 28047.1
“Smaller business firm” means a person that proposes to transact, or transacts, business on a regular and continuous basis in California and, together with its affiliates, has a net worth of not more than six million dollars ($6,000,000), and average net income after federal inco
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Corporations Code - CORP - CORP § 28048
Corporations Code - CORP - CORP § 28048
“Subsidiary,” when used with respect to a specified person other than a natural person, means any person other than a natural person controlled by the specified person, directly or indirectly, through one or more intermediaries.
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Corporations Code - CORP - CORP § 28049
Corporations Code - CORP - CORP § 28049
“Voting power” has the meaning set forth in Section 194.5.
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Corporations Code - CORP - CORP § 28100
Corporations Code - CORP - CORP § 28100
The commissioner shall administer and enforce the provisions of this division in a manner that facilitates the legislative purposes set forth in Section 28004, consistent with protection of investors.
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Corporations Code - CORP - CORP § 28101
Corporations Code - CORP - CORP § 28101
Whenever the commissioner issues an order or license under this division, the commissioner may impose any conditions that are in his or her opinion necessary to carry out the provisions and purposes of this division.
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Corporations Code - CORP - CORP § 28102
Corporations Code - CORP - CORP § 28102
Any application filed with the commissioner under this division or under any regulation or order issued under this division shall be in a form, shall contain information, shall be signed in a manner, and shall be verified in a manner, that the commissioner may by regulation or or
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Corporations Code - CORP - CORP § 28103
Corporations Code - CORP - CORP § 28103
In determining whether to approve any application filed under this division or under any regulation or order issued under this division, the commissioner may consider proposals made by the applicant, including, but not limited to, proposals to appoint officers, sell securities, o
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Corporations Code - CORP - CORP § 28104
Corporations Code - CORP - CORP § 28104
(a) The commissioner may do both of the following: (1) Make public or private investigations within or outside this state that he or she deems necessary to determine whether to approve any application filed under this division or under any regulation or order issued under this di
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Corporations Code - CORP - CORP § 28105
Corporations Code - CORP - CORP § 28105
The commissioner may provide information relating to a licensee or any parent or subsidiary of the licensee to, or receive information relating to a licensee or any parent or subsidiary of the licensee from, any governmental agency.
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Corporations Code - CORP - CORP § 28106
Corporations Code - CORP - CORP § 28106
If the commissioner permits any licensee, any affiliate of the licensee, or any governmental agency to inspect or make copies of any record relating to the licensee or to any director, officer, employee, or affiliate of the licensee, or if the commissioner provides the record, or
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Corporations Code - CORP - CORP § 28107
Corporations Code - CORP - CORP § 28107
The commissioner may refer any evidence available concerning any violation of this division or of any regulation or order issued under this division that constitutes a crime to the district attorney of the county in which the violation occurred, who may, with or without that refe
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Corporations Code - CORP - CORP § 28108
Corporations Code - CORP - CORP § 28108
Before any applicant for a license is issued a license, the applicant and each parent and subsidiary of the applicant shall file, and each person that becomes a parent or subsidiary of a licensee shall file, not less than 30 days after becoming a parent or subsidiary of the licen
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Corporations Code - CORP - CORP § 28109
Corporations Code - CORP - CORP § 28109
Whenever any person, including any nonresident of this state, engages in conduct prohibited or made actionable by this division or by any regulation or order issued under this division, whether or not the person has filed a consent to service of process under Section 28108, and i
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Corporations Code - CORP - CORP § 28110
Corporations Code - CORP - CORP § 28110
(a) Fees shall be paid to, and collected by, the commissioner, as follows: (1) The fee for filing with the commissioner an application for a license shall be no greater than two thousand dollars ($2,000). (2) The fee for filing with the commissioner an application for approval to
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Corporations Code - CORP - CORP § 28111
Corporations Code - CORP - CORP § 28111
(a) If a licensee becomes licensed as a small business investment company and is subject to regulation by the Small Business Administration under the federal Small Business Investment Act of 1958, the commissioner may by rule or order provide that a licensee in compliance with th
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Corporations Code - CORP - CORP § 28150
Corporations Code - CORP - CORP § 28150
(a) Except as provided in subdivision (b), no person proposing to transact or transacting business in this state, other than a licensee, shall use any name or title that indicates that it is a capital access company or otherwise represent that it is a capital access company or th