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Right Column

Commissioner's Notices

Broker-Dealer

• Invitation for Comment - Finders and Private Placement Broker-Dealers (September 18, 2006)
• 2001 Legislation Streamling Fees, Assessments and Notice Filings under the Corporate Securities Law of 1968.
• Notice of Recent California Law Changes Designed to Protect Military Members and their Familie

California Corporate Securities Law of 1968

• Fairness Hearing Notices
• Notice of Recent California Law Changes Designed to Protect Military Members and their Families

California Deferred Deposit Transaction Law

• California Deferred Deposit Committee Members
• License Application Update
• Notice of Changes to the California Deferred Deposit Transaction Law
• Notice of Recent California Law Changes Designed to Protect Military Members and their Families

California Escrow Law

• Notice to Potential Claimants of Asset Escrow Services
• Notice to Potential Claimants of The Escrow Source
• Escrow Law Advisory Committee Meeting and Agenda
  • September 23, 2008
  • December 11, 2007
  • September 18, 2007
  • June 12, 2007
  • March 13, 2007
  • December 12, 2006
  • September 12, 2006
  • June 27, 2006
  • March 7, 2006
  • September 20, 2005
  • June 14, 2005
  • March 29, 2005
  • December 14, 2004
  • September 14, 2004
  • June 24, 2004
  • March 9, 2004
  • December 9, 2003
  • September 3, 2003
  • March 18, 2003
  • December 10, 2002
  • September 4, 2002
  • June 24, 2002
• Notice of Recent California Law Changes Designed to Protect Military Members and their Families

California Finance Lenders Law

• West Nile Virus Notice for Lenders LIcensed under the California Finance Lenders Law and the California Residential Mortgage Lending Act (August 7, 2007)
• Notice of Fingerprint Processing Requirements under the California Finance Lenders Law (June 19, 2006)
• California Finance Lenders Advisory Committee (August 5, 2002)
• Notice of Recent California Law Changes Designed to Protect Military Members and their Families
• Notice of Civil Code Changes Impacting Finance Lenders and Mortgage Bankers

 

California Residential Mortgage Lenders Law

• West Nile Virus Notice for Lenders Licensed under the California Finance Lenders Law and the California Residential Mortgage Lending Act (August 7, 2007)
• Mortgage Bankers Advisory Committee (August 5, 2002)
• Notice of Recent California Law Changes Designed to Protect Military Members and their Families
• Notice of Civil Code Changes Impacting Finance Lenders and Mortgage Bankers

 

California Corporate Disclosure Act

• Request for Information Regarding the California Corporate Disclosure Act of 2002 (December 1, 2004)
• Early Warning - Follow this link for information on the mandatory notification of false or misleading reports.

Investment Advisers

• Investment Adviser Education Seminars
  • San Diego and Imperial Area licensees on April 23, 2008 Flyer [pdf]
  • Alameda, Contra Costa and San Francisco Area licensees on November 28, 2007 Flyer [pdf]
  • Los Angeles County Area licensees on March 7, 2007 Flyer [pdf]
  • San Mateo and Santa Clara Areas licensees on November 15, 2006 Flyer [pdf]
  • Orange County Area licensees on October 12, 2006 Flyer [pdf]
  • San Francisco Area licensees on June 28, 2006 Flyer [pdf]
• Annual Renewal Fee for State Licensed Investment Advisers Calendar Year 2007 (August 29, 2007)
• Annual Renewal Fee for State Licensed Investment Advisers Calendar Year 2006 (November 4, 2005)
• Notice for California-Registered Investment Advisers Mandatory Participation in Investment Adviser Registration Depository ("IARD") (November 1, 2004)
• Notice to Sec-Registered Investment Advisers and Investment Adviser Representatives of Sec-Registered Investment Advisers with Respect to Web IARD Reporting (March 20, 2002)
• 2001 Legislation Streamlining Fees, Assessments and Notice Filings under the Corporate Securities Law of 1968 (December 21, 2001)
• Notice to California-Registered Investment Advisers Regarding Compliance with the Privacy Policy Disclosure Requirements under the Federal Gramm-Leach-Bliley Act (June 26, 2001)
• Supplemental Notice for California-Registered Investment Advisers (February 8, 2001)
• Notice for California-Registered Investment Advisers (November 9, 2002)
• Notice of Recent California Law Changes Designed to Protect Military Members and their Families