Commissioner’s Releases, Selected Opinions, Bulletins and Notices
Commissioner’s Releases
- 123-C: Changes to FINRA Examination (PDF)
01-14-19 - 122-C: Notice Filing Requirements for Regulation A – Tier 2 Offerings (PDF)
09-15-15 - 121-C: New Filing Requirements for Certain Securities Issuers Exempt from the Corporate Securities Law of 1968 (PDF)
- 120-C (Revised): New Filing Requirements for Regulation D Offerings (PDF)
05-18-18 - 119-C: Broker-Dealer Licensure Requirements for Officers and Directors of Issuers (PDF)
11-28-11 - 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 - 99-C: Transactions Involving the Offer or Sale of Securities Pursuant to the New Exemption for Compensatory Stock Option and Purchase Plans; Revision of the Small Corporate Offering Exemption; Other Changes to the Corporate Securities Law of 1968 (PDF)
- 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)
08-17-09 - 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)
08-17-09 - 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(PDF)
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
Commissioner’s Opinions
- 11/1C – Ambac Assurance (PDF)
06-08-11 - 10/1C – Anvik Advisers LLC (PDF)
10-18-10 - 06/1C – Employer-Contribution VEBA Trust and Employee After Tax Contribution VEBA Trust For Pepperdine University (PDF)
06-02-06 - 01/1C – David Evans and Associates, Inc. (“DEA”)
12-06-01 - 99/2C – Mercury Asset Management Advisors (PDF)
11-22-99 - 99/1C – Stephen W. Boney (PDF)
11-22-99 - 98/1C – Westmont Venture Forum (PDF)
12-15-98 - 96/2C – IPONET/W. J. Gallegher & Company, Inc. (PDF)
10-17-96
Commissioner’s Bulletins
- None at this time