IA- California Minimum Financial Requirements Worksheet (Form 260.237.2)

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The Minimum Financial Requirements Worksheet (Form 260.237.2) 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 and ongoing compliance considerations, the Worksheet must be submitted to CA to demonstrate compliance with the minimum financial requirements under California Code of Regulations (CCR) Rule 260.237.2.  Note: This requirement does not apply if you are also Licensed as a broker-dealer in California.

Version/Update: V.U/DFPI-260.237.2 (Rev. 11-20)

Total Page Count/Format: 1/.pdf (form filler)

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