Securities (Corporate Securities Law of 1968)
The Corporate Securities Law of 1968 regulates all offers and sales of securities in California. All securities offered or sold must be either qualified with the Commissioner of Corporations or exempted from registration by a specific Rule of the Commissioner or specific law.
For more information, visit About Corporate Securities Law of 1968.
How to reach us:
Sacramento: Department of Business Oversight 2101 Arena Boulevard Sacramento, CA 95834 |
San Francisco: Department of Business Oversight One Sansome Street, Suite 600 San Francisco, CA 94104-4428 |
Los Angeles: Department of Business Oversight 320 West 4th Street, Suite 750 Los Angeles, CA 90013-2344 |
Phone: (866)-275-2677 Email: Ask.DFPI@dfpi.ca.gov |
Publications and Forms
Laws and Regulations
Fairness Hearings
California Corporations Code section 25142 allows companies interested in issuing securities in a merger or conducting an exchange of outstanding securities to seek a “fairness” hearing as part of its application for qualification of the offer and sale of securities. By this process, applicants may seek an exemption from federal registration as provided by Section 3(a)(10) of the Securities Act of 1933 through a state-law hearing on the fairness of the terms and conditions of the proposed issuance or exchange of securities.
Check information about Fairness Hearings.
Check list of Fairness hearings.
Securities Forms
Department of Financial Protection and Innovation 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) (PDF)
Key Consumer Links
News & Info Links
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