IA- California Verification Form Pursuant to CCR 260.241.2(b)

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The Verification Form is required by California state registered investment advisers that have custody of client funds or securities, discretionary authority over client funds or securities, or accept prepayment of more than $500 per client and six or more months in advance and have a principal place of business in California.  As part of the initial registration requirements, the Verification Form must be submitted to CA to demonstrate compliance with the minimum financial requirements under California Code of Regulations (CCR) Rule 260.241.2(b).

Version/Update: DBO-260.241.2(b) (Rev. 10-17)

Total Page Count: 1

Source/Author(s): CA Department of Business Oversight (DBO)