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Securities Regulation Division

The Securities Regulation Division (SRD) is one of three operational divisions under the California Corporations Commissioner. SRD is headed by an Assistant Commissioner and 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.

Table of Content

• About the Division - Details on the Securities Regulation Division.
• Access to Securities & Franchise Filings ("Cal-EASI") - Obtain information on Corporate Securities Law & Franchise Investment Law filings as of July 25, 2002.
• Broker-Dealers - Information regarding broker-dealer licensing and regulatory requirements.,
• Check Out Your Broker
• Check Out Your Money Manager, Financial Planner, or other Investment Adviser
• Commissioner's Releases, Opinions & Notices - Selected Commissioner's Releases, Opinions & Notices.
• Complaints -File a complaint about a broker-dealer or investment adviser.
• Early Warning - Iinformation on the mandatory notification of false or misleading reports.
• Fairness Hearings - Information on Fairness Hearings pursuant to California Corporations Code section 25142.
• Fairness Hearings Summaries - Summaries of Fairness Hearings pursuant to California Corporations Code section 25142 held in 2001-2003.
• File Your Limited Offering Exemption Notice (Corporations Code 25102(f)) Online -
• Applications & Forms -
• Franchises - Information regarding franchising.
• Investment Advisers - Information regarding investment adviser licenseing and regulatory requirements.
• Investor Education Helpful information to assist the investor.
• Notice to Applicants - Use of a Cross-Reference Sheet to help expedite the review of applications for qualification of the offer and sale of securities.
• Notice of Recent California Law Changes Designed to Protect Military Members and their Families - These new laws affect broker-dealers and investment advisers licensed under the Corporate Securities Law of 1968
• Other Useful Links - Links to other sites.
• Marsh & Volk's "Practice Under the California Securities Laws" published by Mathew Bender & Company, Inc., ., one of the LEXIS Publishing companies.

  This three-volume treatise includes, in addition to a history of the California Corporate Securities laws, (1) a detailed analysis of the Corporate Securities Law of 1968 and Franchise Investment Law, as amended, (2) the text of both laws and the rules promulgated by the California Corporations Commissioner under both laws, (3) a section-by-section commentary on both laws with annotated California Corporations Commissioner's opinions, and (4) copies of all releases issued by the California Corporations Commissioner under both laws.

• Publications

How to Contact Us!

If you have any questions regarding the laws administered by Securities Regulation Division, call the Consumer Services Office tollfree: 1 (866) 275-2677 or 866 ASK CORP.

For information regarding broker-dealers, broker-dealer agents and investment advisers call the Consumer Services Office tollfree: 1 (866) 275-2677 or 866 ASK CORP.