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Selected Commissioner's Releases
Corporate Securities Law of 1968
Capital Access Company Law
Corporate Securities Law of 1968
- 119-C: Broker-Dealer Licensure Requirements for Officers and Directors of Issuers
10-23-08 - 118-C:
Requests for Variances From Compensatory Benefit Plan
Regulations Under the Corporate Securities Law of
1968 [pdf]
11-14-06 - 117-C:
"Fairness" Hearings and Shell Companies [pdf]
01-07-06 - 116-C:
Electronic Filing of Limited Offering Exemption Notice
under Corporations Code section 25102(f) [pdf]
07-01-05 - 115-C (revised): Establishment
of Certain Notice Filing Fees under the Corporate
Securities Law of 1968 [pdf]
05-28-04 - 114-C: Transition to the Investment
Advisers Registration Depository for SEC-Registered
Investment Advisers and Investment Adviser Representatives
- Notice Filing Requirements, Instructions & Fees
11-03-00 - 113-C: Suspension of Notice
Filing Fees For Federally Registered Investment Advisers
12-07-98 - 112-C (Revised):
Resumption of Certain Notice Filing Fees Under the
Corporations Securities Law of 1968
06-08-00 - 111-C: Participation in NASAA's
Coordinated Equity Review Program
04-16-98 - 110-C: Withdrawal From Publication
of Policy Letter No. 151 Under the Corporate Securities
Law of 1968
04-09-98 - 109-C (Revised): Notice Filings
Under The National Securities Markets Improvement
Act of 1996 - Conforming Amendments to the Corporate
Securities Law of 1968 [pdf]
02-05-07 - 108-C (Revised): Interim Additions
to the Eligible Securities List [pdf]
04-12-00 - 107-C: Use of the Internet by
Broker-Dealers and Investment Advisers for the Dissemination
of Information on Products and Services
08-19-97 - 106-C: Acceptance of Form NF
to Satisfy California's Notice Filing Requirement
for Offerings of Investment Company Securities
07-11-97 - 104-C: Notice Filing and Fee
Payment Requirements For Investment Companies
12-18-96 - 103-C: Notice Filing and Fee
Payment Requirements For Securities Offerings Under
SEC Rule 506 [pdf]
12-12-96 - 102-C (Revised):"Fairness"
Hearings Under the Corporate Securities Law of 1968
After the Enactment of the National Securities Markets
Improvement Act of 1996
12-01-98 - 101-C: Interim Qualification
Procedure For Investment Companies
11-18-96 - 100-C: Offers of Securities
Made on the Internet
|11-05-96 - 94-C: "Qualified Purchaser"
Limited Public Offering Exemption Under Corporations
Code Section 25102(n) [pdf]
09-27-94 - 93-C: The Small Corporate Offering
Registration (SCOR) Application Process and Offerings
of Securities Under SEC Regulation A [pdf]
10-13-93 - 92-C: Securities of Foreign Issuers [pdf]
07-27-93 - 91-C: Agents Operating Under a
"Local Area Name" or as an "Independent
Contractor" [pdf]
01-07-94 - 90-C: Procedural Accommodations
Under the Multijurisdictional Disclosure System [pdf]
07-25-91 - 88-C: Exemption from Non-Issuer
Qualification Requirements for Securities of NASDAQ/NMS
Issues [pdf]
08-09-07 - 87-C: Exemption from Qualification
Requirements for National Market System Securities
on the Interdealer Quotation System of the National
Association of Securities Dealers, Inc. [pdf]
08-09-07 - 80-C: (Revised): Applicability
of the Corporate Securities Law of 1968 to Persons
Engaged in Business as "Financial Planners" [pdf]
05-25-93 - 67-C: Limited Offering Exemption
- Corporations Code Section 25102(f) [pdf]
10-20-81 - 61-C: (Revised): Interpretive
Opinions [pdf]
07-16-07 - 15-C: (Revised): Memberships [pdf]
10-07-70 - 11-C: See Commissioner's Release
92-C [pdf]
07-27-93 - 10-C: Broker-Dealers, Investment
Advisers and Issuers: Deposit of Cash or Securities
in Lieu of Bond [pdf]
03-14-69 - 8-C: Suitability of Securities [pdf]
02-27-69 - 7-C: Notice of Issuance of Securities
Pursuant to Close Corporation Exemption - Proof of
Mailing by Statement under Penalty of Perjury [pdf]
02-11-69 - 6-C: Franchises [pdf]
03-28-73 - 5-C: Guidelines For Determining When
Securities Are Being "Offered To The Public" [pdf]
01-31-69 - 4-C: see 61-C: (Revised): Interpretive
Opinions [pdf]
03-22-05 - 3-C: Sale of Debt Securities By Churches
01-31-75 - 2-C: Mutual Water Companies [pdf]
05-17-83 - 1-C: Transition of the Corporate
Securities Law of 1968 [pdf]
01-02-69
Financial Services
- 62-FS: Implementation of Guidance Including "Best Practices" for Certain Nontraditional and Adjustable Rate Mortgage Loan Products.
- Comparison Chart [pdf]
- Comparison Chart Information [pdf]
- Interagency Guidance on Nontraditional Mortgage Products Risks ("the Guidance") [pdf]
- The Comparison Chart is also available in the following languages: Chinese - 汉语| Korean
| Spanish - Español | Tagalog | Vietnamese - Tính Từ
- 61-FS: Arranging Workouts for Borrowers, Preparing for Special Servicing Reports to the Commissioner, and Establishing a Working Group in Connection with Nontraditional and other Mortgage Loan Products.
- 60-FS: Public Utility Commerical
Loan Programs for Energy Efficiency Approved by the
Public Utilities Commission
07-16-06 - 59-FS: Fingerprint
Requirement under the California Finance Lenders Law [pdf]
06-15-06 - 58-FS: Evidence of
Compliance with Financial Code Section 50204(o) [pdf]
08-01-07 - 57-FS: Rescission
and Withdrawal from Publication of Specific Ruling
OP 6547 CFLL under the California Finance Lenders
Law [pdf]
05-19-06 - 56-FS: Sale-Leaseback
Transactions [pdf]
03-01-06 - 55-FS:
Changes to the Covered Loan Law [pdf]
02-17-06 - 54-FS: Changes to
Licensing Procedures for Additional Locations of Licensed
Finance Lenders [pdf]
11-16-05 - 53-FS: Effective
July 1, 2004, Finance Lenders Must Translate Agreements
into Chinese, Tagalog, Vietnamese, and Korean, in
addition to Spanish [pdf]
07-23-04 - 52-FS: Applications for License
under the California Deferred Deposit Transaction
Law [pdf]
04-21-04 - 51-FS: Filings to Claim the
Exemption from Prorater Licensing under Financial
Code Section 12104 of the Check Sellers, Bill Payers
and Proraters Law [pdf]
11-27-02
Franchise Investment Law
- 18-F: Franchisor, Subfranchisors and Development Agents
02-01-08 - 17-F: Filing The New
Uniform Franchise Disclosure Document Under The Franchise
Investment Law [pdf]
06-28-07 - 16-F: Participation In Nasaa's
Coordinated Franchise Review Program [pdf]
02-19-04 - 15-F Generally Accepted Accounting
Principles [pdf]
01-08-03 - 14-F Notice of Exemption Filing
under Corporations Code Section 31108 of the Franchise
Investment Law
02-18-00 - 3-F (Revised): When Does an Agreement
Constitute a "Franchise"?
06-22-94 - 2-F: see 61-C: (Revised): Interpretive
Opinions [pdf]
03-22-05
General
- 18-G Notification Under the Class Action Fairness Act of 2005
11-06-07 - 17-G (Revised): Department
of Corporations' Small Business and Disabled Veteran
Business Assistance [pdf]
09-25-06 - 16-G (Revised): Regulatory
Ombudsperson [pdf]
08-05-05 - 13-G
(Revised): Offices for Filing with the Department
of Corporations [pdf]
06-10-04 - 2-G (Revised): Privacy Protection
for Personal Information including Social Security
Numbers [pdf]
03-18-03