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Commissioner's Releases
Capital Access Company Law
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 - 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