Is your California securities broker-dealer a licensed personal property broker? Does it need to have such a license to make loans to its customers? Anyone reading California Corporations Code Section 25217(c) would conclude that it must:
Must A Broker-Dealer Be Licensed As A Personal Property Broker?
Posted on July 24, 2017
Finance Lenders Annual Report Deadline Is Nigh
Posted on March 06, 2017
Lenders and brokers licensed under the California Finance Lenders Law must file an annual report by the Ides of March (i.e., March 15) of each year. Cal. Fin. Code § 22159. This is a hard deadline and the Department of Business Oversight does not...
