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.
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Securities – Frequently Asked Questions and Answers
Questions and answers about Section 25102(f) Notice Filing, Form D Filings, Section 25102(o) Notice Filing, Section 25113(e) Regulatory Examination of Securities, Investment Company Notice Filings and Miscellaneous.
For the Consumer
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.
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)