Gov. Code, § 7929.005 · Chapter 16. Regulation of Financial Institutions and Securities
Gov. Code, § 7929.005
Text — As published in the Legislative Counsel's database, tables dated October 18, 2026 (pubinfo_2025.zip)
(a) Any information reported to the North American Securities Administrators Association/Financial Industry Regulatory Authority and compiled as disciplinary records that are made available to the Department of Financial Protection and Innovation through a computer system constitutes a public record.
(b) Notwithstanding any other provision of law, upon written or oral request pursuant to Section 25247 of the Corporations Code, the Department of Financial Protection and Innovation may disclose any of the following:
(1) The information described in subdivision (a).
(2) The current license status of a broker-dealer.
(3) The year of issuance of the license of a broker-dealer.
Notes and commentary — not statutory text
History
Amended by Stats. 2022, Ch. 452, Sec. 179. (SB 1498) Effective January 1, 2023. Operative January 1, 2023, pursuant to Sec. 7931.000.
Source of truth
- Edition
- As published in the Legislative Counsel's database, tables dated October 18, 2026 (pubinfo_2025.zip)
- Official file
- https://leginfo.legislature.ca.gov/faces/codes_displaySection.xhtml?lawCode=GOV§ionNum=7929.005.
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- compose_ca.py 2026-10-22: the Legislative Counsel's CAML content files read by a tokenizer (caml_readers.reader_a); an independent xml.etree reading (caml_readers.reader_b) agrees on every section
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