BD- California Customer Authorization of Disclosure of Financial Records

California state registered investment advisers are required to complete and submit the Customer Authorization of Disclosure of Financial Records (Form QR 500.261) to the California Department of Business Oversight (DBO) as part of their original investment adviser registration application.  Pursuant to California Code of Regulations (CCR) Section 260.231 (i), the Form must be typewritten, and an original signature must be provided.  The Form should be mailed directly to the California DBO for processing.  Members also downloaded California Broker Dealer Registration Requirements Guide. 

Version/Update: DBO–QR 500.261 (Rev. 10-17)

Total Page Count/Format: 2/.pdf (form filler)

Source/Author(s): CA Department of Financial Protection and Innovation (DFPI)