Organization of the Department of Corporations
The Department of Corporations is comprised: Consumer Services, Education and Outreach; three operational divisions; and the Executive Office.
Consumer Services, Education and outreach
The Department has two offices that reach out to consumers: the Consumer Services Office and the Outreach and Education Office.
The Consumer Services Office is the Department of Corporations’ one-stop information clearing house. Callers may contact the Customer Resource Center at 1-866-275-2677 for direct information on department licensees, programs, and regulations. The Customer Resource Center also offers information to consumers that wish to file complaints against companies regulated by the department.
Education and Outreach programs teach Californians how to avoid financial fraud and make wise and safe financial decisions. E&O team members conduct presentations throughout California covering a broad variety of financial literacy topics. Contact us at firstname.lastname@example.org for copies of our free publications and to request presentations. You may also contact the Consumer Services Office at 866 ASK CORP or (866) 275-2677.
The Operational Divisions
The Financial Services Division is responsible for the regulation of lenders and certain fiduciaries.
The Securities Regulation Division is responsible for the qualification of the offer and sale of securities and the licensing and regulation of broker-dealers, broker-dealer agents, investment advisers, and investment adviser representatives pursuant to the Corporate Securities Law of 1968. SRD also registers the offer and sale of franchises under the Franchise Investment Law and Licenses capital access companies under the Capital Access Company Law.
The Enforcement Division is responsible for enforcing the laws under the Investment and Lender-Fiduciary Programs administered by the Department of Corporations.
The Executive Office:
The Executive Office of the California Corporations Commissioner is responsible for the uniform administration of the Commissioner's statutory authority and for the formulation of policy for the Department
The Office of Legislation and Policy is responsible for ensuring consistent interpretation and application of laws administered and enforced by the Department. Representing the Commissioner and the Department before various public and private agencies and organizations, the Office of Legislation and Policy also serves as the liaison of intergovernmental affairs and the contact for law and legislative matters.
The Office of Management & Budget maintains management, resources and fiscal uniformity across the operational lines of all other programs within the Department.