Services Regulations

Services Regulations

The California Code of Regulations, Title 10 includes the professional regulations for banking, finance, insurance, and real estate professionals. To make it easier and more convenient for the professionals we serve, Barclays offers the complete Title for those professionals who touch multiple industries and has also broken this title up into multiple subsections.

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Title 10: Complete

The complete title contains each of the subdivisions described below as well as regulations from the California Small Business Development Board and the California Industrial Development Board.

Title 10, Division 2:
Department of Financial Institutions - Savings and Loans

Before engaging in any transaction, consult this resource for regulations that apply to savings and loan operations including:

Applications and Hearings
General Operations and Accounting
Conflicts of Interest
Mergers and Acquisitions
Statutory Net Worth Requirements
Audits, Loans, and Escrow
...And much more!

Title 10, Division 5:
Department of Insurance Regulations

Regulations from the California Insurance Commissioner impact insurance agents, insurance brokers, autobody shops, health providers, bail bondsmen and many others. This important division includes regulations from the California Insurance Commissioner including:

Production of Insurance
Advisory Organizations, Policy and Bond Form Approval
Rate setting and review
Policy Forms and Other Documents
Insurers and Insurance Adjusters
Insurer Securities Permits
Public Participation in Department of Insurance Proceedings
Private Passenger Automobile Rating Factors
Stock Insurers - Corporate Affairs
Conflict of Interest Code
CA Residential Earthquake Recovery Fund
Insurance Fraud
...And much more!

Title 10, Division 1:
Department of
Financial Institutions - Banking

Title 10, Division 3:
Department of Corporations

Title 10, Division 6:
Department of
Real Estate Regulations

This division contains regulations from the Department of Financial Institutions regarding banks, trusts, credit unions, industrial loan companies, money order issuers, and travelers check issuers. Some of the areas covered include:

Bank location and branch operation standards including
Head Offices and Office Extensions
Bank and Trust Establishment Rules
ATM Branch Offices
Business and Industrial Development licensing,
Corporate Matters, and Record Keeping
Incorporation Matters
Deposit of Eligible Assets
Acquiring and Holding Equity
Securities of Corporations
Loans to Insiders

The Department of Corporations licenses and regulates securities brokers and dealers, investment advisors, and financial planners. They also regulate the sale of securities, franchises, and off-exchange commodities. This division includes regulations regarding:

Corporate Securities,
Retirement Systems, Capital
Access Companies
California Finance Lenders Law
Commodity Law
Credit Unions and Escrow Agents
Industrial Loans
Check Sellers, Bill Payers, and Prorates
Securities Depositories

This portion of Title 10 includes regulations directly from the California Real Estate Commissioner regarding:

License Applications, Fees,
and Changes
Brokers' outlining requirements
Corporate licenses
Examinations
Code of Ethics and
Professional Conduct
Contracts, Writings, and Other
Documents
California Medical Assistance
...And much more