Self-Service DOCQNET Portal – Frequently Asked Questions

All securities and franchise applications or exemption notices filed by an issuer or a franchisor with the Department over the past 10 years are indexed in the Online Self-Service Portal. You must search by the company’s name and have the option to narrow the search by identifying either the application or notice type or a specific time period. Search results are listed in chronological order. Copies of securities and franchise applications or exemption notices can be obtained by submitting a Public Records Act request through the Department’s website at https://portal.dfpi.ca.gov/csp?id=ssp_pra_request.

Please note that some state securities exemption notices can be filed on the Electronic Filing Depository (EFD) database, which is maintained by the North American Securities Administrators Association, Inc. (NASAA). If your search for a securities exemption notice does not return any results, you may wish to search the EFD database on the NASAA website at http://www.nasaa.org.

It means that the Department issued an order on the date indicated allowing the issuer or franchisor to offer and sell in this state. Effective status is typically granted for a period of one year, but the duration may vary. The “Effective” notation is not meant to indicate current regulatory compliance. To obtain additional information about a filing, you may send an email to SRD_Support@dfpi.ca.gov or submit a Public Records Act request on our website at https://portal.dfpi.ca.gov/csp?id=ssp_pra_request.

If a “YES” notation appears in this field, it means that the DFPI has taken enforcement action against the filer. Clicking on the “YES” hyperlink will take you to a page showing the specific actions taken against the filer by the DFPI; and, the Actions and Orders page contains viewable copies of these documents. If the word “NO” appears in this field, it means that the DFPI has not taken public action against the filer. Note that this field does not include data for any actions issued by other regulators.

When you register (sign up) on the portal, you’ll be given the option to select from one of two registration links:

1) To register as a financial services licensee, securities issuer, franchisor filing on your own behalf, or a firm submitting franchise registration applications or securities permit applications, you will go through the same registration process that exists currently, where both contact information and information about the issuer/licensee are required for registration.

2) To register a law firm seeking to file franchise and securities notices for multiple issuers, you will be asked to provide only your law firm’s information and desired username.  You will provide issuer information with each individual filing.

Instructions for the registration process can be found in the Overview of the DFPI Self Service Portal Registration Process (PDF) document.

No. If a Self-Service portal manager would like to file multiple notices for several Organizations, they should select Option A when registering for an account on the portal. This allows for multiple filings for multiple organizations.

We are currently developing a revised format to allow central registration by each issuer representative. This feature is expected to be implemented towards the end of October / beginning of November.

Your account should be approved within five (5) business days; although, in most cases it is approved within two (2) days. A confirmation email will be sent to the address you provided after your access to the self-service portal is established.

The confirmation email is a ‘No-Reply’ email and commonly gets placed into a spam folder – please check the spam folder for your email. If no email is found, try accessing your account with the username and password you provided upon registration. In most cases, the accounts are already approved. If you still cannot log in, please call (866) 275-2677 or send an email to ask.dfpi@dfpi.ca.gov and we will verify your account status.

We have received feedback on this feature and currently anticipate that your filing(s) should be available to view and print by mid-September. We apologize for the delay and ask for your patience while this is developed. Once enabled, you will be able to find your filing(s) by using the ‘Document Search’ function on our web portal.

On the log in screen select the option ‘Forgot your password’, and it will then ask for your username. The self-service portal will send you an email with a new password to use. You may change this if you wish on your account page.

If you unsuccessfully attempt to log in more than five (5) times, your account will be locked. Please send an email to ask.dfpi@dfpi.ca.gov to have our support team unlock it and to confirm your username.

You must select a different username for each new client but may keep the same password for all client accounts. We recommend you use the name of the client you are filing for as your username.

Please send an email to ask.dfpi@dfpi.ca.gov from the email address associated with your self-service portal account, and a member of our support team will make the necessary adjustment for you.

If you have not submitted your filing for payment yet, you will be able to make any changes needed. If you have already made a payment, please send an email to ask.dfpi@dfpi.ca.gov from the email address associated with your self-service portal account, and a member of our support team will make the necessary adjustment for you.

A: You must ‘Sign Out’ first from your prior account before registering a new account. Please select the portal home page icon and then select your name at the top right of the screen and select ‘Sign Out.’ At this point you will be able to register a new account.

A: Some users have experienced compatibility issues with older versions of web browsers, especially Internet Explorer. We recommend using the latest version of Internet Explorer (version 11). The latest versions of Google Chrome, Firefox, and Safari are also supported by the self-service portal.

We recommend using the latest version of Internet Explorer (version 11). The latest versions of Google Chrome, Firefox, and Safari are also supported by the self-service portal.

If the company is organized in California and they are not a Corporation, LLC or LP, they must provide a notarized “Consent to Service of Process.” It is also required if a company is organized under the laws of any state other than California, or if it is organized in another country. If a company is filing a 25102(f) notice or Reg D notice electronically, the “Consent to Service of Process” does not have to be notarized since the language is part of the electronic filing.”

You must add the type of Security and save it using the ‘Save Securities Information’ button before proceeding to Step 5.

The self-service portal has a page timeout of 8 hours.

Filings cannot be deleted once initiated whether payment is submitted or not.

Support for international addresses is currently being analyzed for inclusion in a future update to the Self-Service portal.

Please contact our Consumer Services at (866) 275-2677 or (916) 327-7585, or by email at Ask.DFPI@dfpi.ca.gov.

No. The payment email confirmation will include the name of the Representative Company Name (i.e. law firm), along with a transaction ID.

If you wish to request a refund on the fee paid for your securities/franchise notice filing, please direct your written request to the Department of Financial Protection and Innovation Accounting Office at 2101 Arena Boulevard, Sacramento, CA 95834. Please enclose a valid reason for your refund request and information on your transaction, including your credit card number, transaction confirmation number and your Notice-Id and/or App-Id.

While they are not required, they do help us validate your registration request. The Department of Financial Protection and Innovation’s online portal has many services now, with LOEN just being one of the many services offered. In order to expedite the registration validation process, we are asking you to provide any information that you know. For instance, if you answer “Yes” to the question regarding securities/franchise filing, it helps us know that you are registering for services offered by our Securities Regulations Division, as opposed to the Financial Services Division.