Capital Access Company Law

Senate Bill 2189 (Chapter 668, Statutes 1998) enacted the Capital Access Company Law (the “CACL”), which, among other things, provides for the licensure and regulation of capital access companies by the Commissioner of the Department of Financial Protection and Innovation. This law, which is found at Corporations Code Section 28000 et seq., became operative on July 1, 1999, and is intended to facilitate California small businesses obtaining financing by enabling certain investment companies to rely on an exemption from registration under the federal Investment Company Act of 1940 (the “Investment Company Act”). Read more About the Law.

How to reach us:

Department of Financial Protection and Innovation
Broker-Dealer and Investment Adviser Division
2101 Arena Boulevard
Sacramento, CA 95834

Phone: (916) 576-3638
Fax: (916) 445-7193
Email: IAAPP@dfpi.ca.gov

Capital Access Companies Forms and Applications

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)

Capital Access Company applications are only accepted by the Department of Financial Protection and Innovation’s Sacramento Office.

To view these files you MUST have Adobe Acrobat Reader or another PDF-reading compatible program installed on your system. Visit our help page for more information on installing Adobe Acrobat Reader. To find which is the proper office to file your application and or notice, please refer to Commissioner’s Release 13-G (PDF).

Last updated: Oct 20, 2020 @ 8:49 pm