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Office of Law & Legislation — RuleMaking
Any interested person, or his or her authorized representative, may submit written comments relevant to the proposed regulatory action prior to the end of the comment period set forth in the Notice of Proposed Changes to Regulations to the Department of Corporations, addressed to: Karen Fong, Office of Law & Legislation, California Department of Corporations, 1515 K Street, Suite 200, Sacramento, CA 95814-4052. Written comments may also be sent to Karen Fong (1) via electronic mail at regulations@corp.ca.gov or (2) via fax (916) 322-5875.
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- EMERGENCY REGULATIONS
- INVITATION FOR COMMENTS
- PROPOSED RULES
- APPROVED REGULATIONS
- WITHDRAWN REGULATIONS
EMERGENCY REGULATIONS
- Nothing at this time.
INVITATION FOR COMMENTS
- PRO 31/06 - Finders and Private Placement Broker-Dealers
- PRO 22/01 - Mortgage Program Guidelines for Securities Qualification
PROPOSED RULES
Corporate Securities Law of 1968
- PRO 41/06 - Exemption for Certain Advisers - Comment period extended to March 31, 2008
- PRO 27/03 - Investment Adviser Omnibus Rulemaking - Comment period extended to February 1, 2008
California Finance Lenders Law
- None at this time
California Residential Mortgage Lending Act
- None at this time
Franchise Investment Law
- None at this time
APPROVED RULES
California Residential Mortgage Lending Act
- PRO 01/07 - Nontraditional Mortgage Products
- PRO 12/01 - Establishment of factors to determine frequency of routine regulatory examinations of escrow agent licensees and California Residential Mortgage Lending Act licensees, and additional information required to be included in independent annual audit reports of escrow agents.
California Deferred Deposit Transaction Law
California Finance Lenders Law
- PRO 01/07 - Nontraditional Mortgage Products
- PRO 21/05 - Fingerprint and Criminal History Record Checks, Application Form Revisions
- PRO 31/02 - Guarantee Loan Rules (Live Checks)
- OP 10/01- Implementing short and long form applications for licensure.
Check Sellers, Bill Payers, and Proraters Law:
- OP 01/99 - Review of regulations; nonsubstantive changes.
Corporate Securities Law of 1968
- PRO 27/03 - Investment Adviser Omnibus Rulemaking - Custody, Advertising, Cash Solicitation, Soft Dollars, Unethical Practices, Conflicts of Interest and Books.
- PRO 27/06 - Compensatory Benefit Plan Rules
- PRO 25/04 - AB 3070 (2004) - Mandatory IARD
- PRO 36/01 - Relating to entity conversion transactions.
- PRO 19/04 - On-line filing of the Notice under Section 25102(f).
- PRO 25/01 - Offerings of debt Securities by churches.
- PRO 26/03 - Consent to Service of Process Form
- PRO 37/03 - Time Period for Filing 25102(f) Notice.
- PRO 17/01 - Electronic filing of notices under the "limited offering exemption" of Corporations Code Section 25102(f)
- PRO 21/02 - Relating to administrative penalties criteria
- PRO 28/01 - Broker-Dealer Books and Records
- OP 05/01 - Broker-Dealer applications, amendments, notices and fees to be filed with the Department of Corporations.
- OP 19/00 - Investment adviser and investment adviser representative applications, amendments, reports, notices, and fees required to be filed with the Commissioner.
- OP 07/99 - Exemption from licensure for certain investment advisers with fewer than 15 clients.
- OP 16/00 - Exemption from qualification for certain securities offerings through option plans and purchase plans.
- OP 03/01 - Adding regulation Rule 260.402 relating to the to the purchase or sale of securities by an "insider".
- OP 21/96 - Exemption from (1) certain Canadian tax-deferred retirement savings accounts, certain Canadian broker-dealers and agents; and (2) specialists, market makers or floor broker-dealers who are members of the Pacific Stock Exchange, Inc.
- OP 11/00 - Exemption from Investment Adviser Licensure for Capital Access Company Fund Managers.
- OP 10/98 - Temporary transfer of agents of broker-dealers, changes to the broker-dealer application, performance based compensation and books and records requirements.
- OP 16/98 - Foreign equity securities
- OP 09/99 - Qualification requirements for investment adviser.
Escrow Law
- OP 22/99 - Relates primarily to escrow transactions over the Internet by Internet escrow agents.
- PRO 12/01 - Establishment of factors to determine frequency of routine regulatory examinations of escrow agent licensees and California Residential Mortgage Lending Act licensees, and additional information required to be included in independent annual audit reports of escrow agents.
- OP 02/01 - Recognizes Internet "click through" fees under specified circumstances and limited to Internet transactions involving personal property.
- OP 20/99 - Forms and amount of fidelity bond.
Franchise Investment Law
- PRO 31/04 - Clarifies the procedure for filing the application for registration
- PRO 24/04 - Implementations of AB 2921 Provisions.
- PRO 09/02 - Relating to the offering circular and exemption for advertisements posted on the Internet from filing, if certain conditions are met.
- OP 04/01 - Exemption from registration for offers or sales to persons who are not residents of California, if certain conditions are met.
- OP 20/00 - Increase of the franchise fee allowed to $500 from $100 under the de minimis exemption from registration.
- OP 18/99 - Exemption for new product or service.
- OP 15/99 - Exemption for the offer and sale of a franchise over the Internet.
Nonsubstantive changes to to Title 10, Chapter 3, of the California Code of Regulations
- PRO 01/08 - Nonsubstantive Order adopting changes under Section 1950.314.8. Nontraditional, Adjustable Rate and Mortgage Loan Products.
- PRO 07/05 - Attorney General's (AG's) Electronic Fingerprint Transmission Requirement
- OP 13/00 - Nonsubstantive, clean-up amendments to Title 10, Chapter 3, of the California Code of Regulations.
WITHDRAWN REGULATIONS
- PRO 41/06 - Exemption for Certain Investment Advisers