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Forms: Securities

SECURITIES TRANSACTIONS

The Department of Corporations is pleased to provide links to the following forms listed below. To find which is the proper office to file your application and or notice, please refer to Commissioner's Release 13-G (Revised).

CAPITAL ACCESS COMPANIES

To view the files you MUST have Adobe Acrobat Reader installed on your system. Click here for download instructions for PDF. To find which is the proper office to file your application and or notice, please refer to Commissioner's Release 13-G (Revised).

FRANCHISE TRANSACTIONS

To view the files you MUST have Adobe Acrobat Reader installed on your system. Click here for download instructions for PDF. To find which is the proper office to file your application and or notice, please refer to Commissioner's Release 13-G (Revised).

Click here for other information regarding franchising.

BROKER-DEALERS

To view the files you MUST have Adobe Acrobat Reader installed on your system. Click here for download instructions for PDF. To find which is the proper office to file your application and or notice, please refer to Commissioner's Release 13-G (Revised).

Note: Throughout our web pages, reference may be made to the Rules as found in Title 10, Chapter 3, California Code of Regulations (“CCR”).  For information concerning the CCR and accessing sections of the CCR referenced on these web pages, click here.

Any person who intends to become a broker-dealer in California may apply for a broker-dealer certificate by filing an application. If you are a member of the Financial Industry Regulatory Authority ("FINRA"), the application should be filed directly with the Central Registration Depository ("CRD"). If you are not a member of FINRA , the application should be filed directly with the Department of Corporations. Please review the Information to Assist Persons Applying for a Broker-Dealer Certificate and Instructions for Completing and Filing Form BD in California by Broker-Dealers Not Filing by Notification. Once you have reviewed this information and have any questions concerning the application process, please feel free to contact us at 1-866-ASK-CORP (1-866-275-2677).

SEC REGISTERED INVESTMENT ADVISER

Any person registered with the Securities and Exchange Commission ("SEC") as an investment adviser and who conducts business in California for more than five clients should file a notice with the Department of Corporations. This notice is to be filed within thirty-(30) days of conducting business in California. Please review the Information to Assist Persons Making a Notice Filing for instructions and additional information in regards to making a notice filing in California.

Note: Reference may be made to the Rules as found in Title 10, Chapter 3, California Code of Regulations (“CCR”).  For information concerning the CCR and accessing sections of the CCR referenced on these web pages, click here.

CALIFORNIA LICENSED INVESTMENT ADVISER

Note: Throughout our web pages below, reference may be made to the Rules as found in Title 10, Chapter 3, California Code of Regulations (“CCR”).  For information concerning the CCR and accessing sections of the CCR referenced on these web pages, click here.       

Any person who wants to become an investment adviser in California may apply for an investment adviser certificate by filing an application. The forms and instructions for filing an application are found below. To begin, please review the Information to Assist Persons Applying for an Investment Adviser Certificate and Instructions for Completing and Filing Application for Investment Adviser Certificate on Form ADV. Once you have this information and have any questions concerning the application process, please feel free to contact us at 1-866-ASK-CORP (1-866-275-2677).