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Section 853 Of Article 8. Issue Of Securities From California Insurance Code >> Division 1. >> Part 2. >> Chapter 1. >> Article 8.
853
. 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.
(c) The issuer's assets, liabilities, and issued capital stock, at the close of its fiscal year then last ended, or at a later date.
(d) The issuer's gross income, expenses, and fixed charges for the year next preceding such date, or for such time as such issuer of such security has transacted business, if for less than one year.
(e) The approximate price at which the broker has sold or proposes to sell such security.
(f) Such other information, of which the broker has knowledge, as the commissioner requires.
(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.
(c) The issuer's assets, liabilities, and issued capital stock, at the close of its fiscal year then last ended, or at a later date.
(d) The issuer's gross income, expenses, and fixed charges for the year next preceding such date, or for such time as such issuer of such security has transacted business, if for less than one year.
(e) The approximate price at which the broker has sold or proposes to sell such security.
(f) Such other information, of which the broker has knowledge, as the commissioner requires.
