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Right Column

Commissioner's Releases

Capital Access Company Law

• 1-CACL: The Capital Access Company Law
  08-09-99

Corporate Securities Law of 1968

• 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
  • Investment Adviser Representative of SEC-Registered Investment Adviser Filing Requirments, Instructions & Fees
  • SEC-Registered Investment Adviser Notice Filing Requirements, Instructions & Fees
• 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