| Portal Filing Instructions for Franchise Registrations | 18-Feb | | Franchise Investment Law |
| Surety Bond | 21-Sep | PDF | Residential Mortgage Lender |
| 25102.1(a) | Form 1-A Regulation A Offering Statement Under the Securities Act of 1933
Or NASAA Regulation A Tier 2 Uniform Notice Filing Form | 21-Sep | PDF | Securities |
| 25102.1(d) | Notice of Exempt Offering of Securities – Form D | 23-May | PDF | Securities |
| 2923.3 C2 | Summary of Notice of Default | 21-Jan | PDF | |
| 2923.3 D2 | Summary of Notice of Sale | 21-Jan | PDF | |
| BCIA 8016 | Request for Live Scan Service ( BCIA 8016) | 20-Apr | PDF | California Residential Mortgage Lending Act (CRMLA) |
| CFPB | CFPB Loan Estimate (PDF) | 14-Feb | PDF | |
| DFPI-25206.1 | Statement of Information for Finder | 20-Dec | PDF | Broker-Dealer and Investment Adviser Division(BDIA) |
| DFPI-02 | Personal Financial Statement | 20-Oct | PDF | Commercial Bank, Foreign (Other Nation) Bank,Money Transmitter, Trust Company and Department |
| DFPI-03 | Confidential Resume | 20-Oct | PDF | Commercial Bank, Foreign (Other Nation) Bank, Money Transmitter, Trust Company and Department |
| DFPI-09 | This Form has been replaced by form DFPI-803. | 17-May | PDF | |
| DFPI-10 | Application for Authority to Organize Bank | 20-Oct | PDF | Commercial Bank, Industrial Bank, Trust Company and Department |
| DFPI-1002 | Local Agency Deposits Weekly Report | 23-Feb/20-Nov | Excel/PDF | Local Agency Security Program (LASP) |
| DFPI-1003 | Local Agency Deposits and Securities Called Report | 23-Feb/20-Nov | Excel/PDF | Local Agency Security Program (LASP) |
| DFPI-1004 | Local Agency Security Program Collateral Transfer | 22-Jan/20-Dec | PDF | Local Agency Security Program (LASP) |
| DFPI-1010 | Application for License as Business and Industrial Development Corporations | 20-Oct | PDF | BIDCO |
| DFPI-1802 | Stock Purchase Questionnaire | 20-Oct | PDF | Premium Finance |
| DFPI-1815 | Premium Finance Agency Application | 20-Oct | PDF | Premium Finance |
| DFPI-1820 | For Item 2(d) of the Premium Finance Company Application | 20-Oct | PDF | Premium Finance |
| DFPI-1821 | Customer Authorization of Disclosure of Financial Records - Premium Finance | 20-Oct | PDF | Premium Finance |
| DFPI-2110 | Application for a License to Engage in the Money Transmission Business | 20-Oct/20-Dec | PDF | Money Transmitter |
| DFPI-2118 | Application for Approval to Acquire Control of Money Transmitter | 20-Nov | PDF | Money Transmitter |
| DFPI-25 | Uniform California Application/Notice | 20-Oct | PDF | Commercial Bank, Industrial Bank |
| DFPI-250.61 | Statement of Citizenship, Alienage, and Immigration Status for Application of Department of Financial Protection and Innovation License or Certificate | 20-Oct | PDF | Broker-Dealer, California Residential Mortgage Lending Act(CRMLA) |
| DFPI-25100.1(b) | Notice of Issuance of Securities | 20-Nov | PDF | Securities |
| DFPI-25102 N | Transaction Pursuant to Corporations Code Section 25102(n) Packet including Instructions and Forms | 21-Sep/23-Mar/21-Nov | PDF | Securities |
| DFPI-25102(r) | California Crowdfunding Exemption Notice | 22-Apr | PDF | Securities |
| DFPI-260.100.1 | Request for Designation as an Exempt Organization Pursuant to Subdivision (k) of Section 25100 Corporate Securities Law of 1968 | 20-Nov | PDF | Securities |
| DFPI-260.100.3 | Request for Order of Exemption Pursuant to Subdivision (l) of Section 25100 Corporate Securities Law of 1968 | 20-Nov | PDF | Securities |
| DFPI-260.102.14(c) | Notice of Transaction Pursuant to Corporations Code Section 25102(f)
(Instruction included) | 23-Mar | PDF | Securities |
| DFPI-260.102.14(c)- Online | Limited Offering Exemption Notice (25102(f)) (Online) | | Online | Securities |
| DFPI-260.102.19 | Notice of Issuance of Securities pursuant to subdivision (o) of Section 25102 of the Corporations Code | 20-Nov | PDF | Securities |
| DFPI-260.102.8(a) | Notice of Issuance of Shares Pursuant to Subdivision (H) of Section 25102 of The Corporations Code or Rule 260.103, Title 10, CA Code of Regulations5/97 | 20-Nov | PDF | Securities |
| DFPI-260.102.8(b) | Consent to Service of Process - Securities | 20-Nov | PDF | Securities |
| DFPI-260.103.6(b) | Notice of Exchange Transaction or Entity Conversion Pursuant to Corporations Code Section 25103(h) | 20-Nov | PDF | Securities |
| DFPI-260.105.33/34 | Notice Of Transaction Under Rule 260.105.33 and/or 260.105.34 Under the Corporate Securities Law Of 1968 | 20-Nov | PDF | Securities |
| DFPI-260.110 | Facing Page | 20-Nov | PDF | Securities |
| DFPI-260.111 | Application for Qualification by Coordination | 20-Nov | PDF | Securities |
| DFPI-260.112 | Application for Qualification of Issuer Transactions by Notification | 20-Nov | PDF | Securities |
| DFPI-260.113 | Instructions for Application by Permit | 20-Nov | PDF | Securities |
| DFPI-260.121 | Application for Qualification of Recapitalizations and Reorganizations | 20-Nov | PDF | Securities |
| DFPI-260.131 | Facing Page For Qualification Of Nonissuer Transaction By Notification | 20-Nov | PDF | Securities |
| DFPI-260.140.80.5 | Contractual Periodic Payment Plan Standards Guidelines | 20-Nov | PDF | Securities |
| DFPI-260.141.13 | Notice of Release of Securities From Escrow | 20-Nov | PDF | Securities |
| DFPI-260.141.50 | Application for Removal of Condition | 20-Nov | PDF | Securities |
| DFPI-260.146 | Semi-Annual Report Pursuant to Section 25146 of the Corporate Securities 1968 | 20-Nov | PDF | Securities |
| DFPI-260.151(a) | Application for Consent to Transfer Securities | 20-Nov | PDF | Securities |
| DFPI-260.151(b) | Statement of Transferee to Accompany Application for Consent to Transfer Securities Subject To Legend or Escrow Condition | 20-Nov | PDF | Securities |
| DFPI-260.165 | Consent to Service of Process - BDIA | 20-Nov | PDF | Broker-Dealer and Investment Adviser Division (BDIA), Securities |
| DFPI-260.211.1 | Application by Notification for Broker Dealer Certificate | 20-Oct | PDF | Broker-Dealer and Investment Adviser Division (BDIA) |
| DFPI-260.237.2 | Minimum Financial Requirement Worksheet | 20-Nov | PDF | Broker-Dealer and Investment Adviser Division (BDIA) |
| DFPI-260.241.2b | Verification Form | 20-Nov | PDF | Broker-Dealer and Investment Adviser Division (BDIA) |
| DFPI-260.507 | Application for Approval as to Form of an Offer to Repurchase a Security Under Subdivision (b) of Section 25507 of the Corporate Securities Law of 1968 | 20-Nov | PDF | Securities |
| DFPI-2666 | Bona Fide Non Profit Housing Organization Application for Registration | 20-Nov | PDF | California Residential Mortgage Lending Act (CRMLA) |
| DFPI-301 | Summary of Merger Approval Process - Credit Unions | 23-Sep | PDF | Credit Union |
| DFPI-310 | Sample Form of Application - Credit Unions | 23-Sep | PDF | Credit Union |
| DFPI-310.100.2 | Franchise Investment Law-Notice of Negotiated Sale of Franchise under Section 310.100.2, Title 10, California Code of Regulations | 20-Nov | PDF | Franchise Investment Law |
| DFPI-310.100.4 | Negotiated Sales Exempt Under 31109.1 of the Corporations Codes – Summary Description | 20-Nov | PDF | Franchise Investment Law, Securities |
| DFPI-310.101 | Franchise Investment Law-Notice of Exemption under Corporations Code Sections 31101, 31104, 31108 or 31109 Corporations Code | 20-Nov | PDF | Franchise Investment Law |
| DFPI-310.106 | Notice of a Transaction Exempt Under Corporations Code Section 31106 | 20-Nov | PDF | Franchise Investment Law |
| DFPI-310.111 | Guidelines for Franchise Registration (UFDD) | 20-Oct | PDF | Franchise Investment Law |
| DFPI-310.122 | Uniform Franchise Registration Renewal Statement | 20-Nov | PDF | Franchise Investment Law |
| DFPI-310.125 | Uniform Franchise Registration Application for Material Modification to Existing Franchises | 20-Nov | PDF | Securities |
| DFPI-310.155 | Uniform Consent to Service of Process - Franchise Investment Law | 20-Nov | PDF | Franchise Investment Law |
| DFPI-31113 | Surety Bond | 20-Nov | PDF | Franchise Investment Law, Securities |
| DFPI-320 | Plan of Merger - Credit Unions | 23-Sep | PDF | Credit Union |
| DFPI-330 | Sample Form of Notice of Merger - Credit Unions | 23-Sep | PDF | Credit Union |
| DFPI-340 | Sample Form of Officers' Certificate Regarding Giving of Notice - Credit Unions | 23-Sep | PDF | Credit Union |
| DFPI-350 | Sample Form of Certificate of Merger of Surviving Credit Union | 23-Sep | PDF | Credit Union |
| DFPI-360 | Sample Form of Certificate of Merger of Disappearing Credit Union | 23-Sep | PDF | Credit Union |
| DFPI-379 | Written Consent Form | 20-Oct | PDF | Bank, Money Transmitters |
| DFPI-380 | DFPI 380 - Credit Union Official - Questionnaire | 20-Oct | PDF | Credit Union |
| DFPI-390 | Application for Approval to Form a Credit Union | 20-Nov | PDF | Credit Union |
| DFPI-391 | Organizing a State Credit Union Information Booklet | 23-Sep | PDF | Credit Union |
| DFPI-4030 | Authorization for Release of Information (Money Transmitters) | 20-Oct | PDF | Money Transmitter |
| DFPI-502 | Trust Company Report of Condition
| 22-Apr/20-Nov | Webform/PDF | Trust Company and Department |
| DFPI-5025 | Appointment of Commissioner of Business Oversight as Agent for Service of Process (Money Transmitters) | 20-Dec | PDF | Money Transmitter |
| DFPI-505 | Schedule T - Fiduciary and Related Services
| 22-Apr/20-Nov | Webform/PDF | Trust Company and Department |
| DFPI-506 | Schedule U | 22-Apr/21-Jan | Webform/PDF | National banks, federal savings banks, and foreign (other state) banks authorized to engage in trust business in California |
| DFPI-507 | Schedule S - discontinued 12/31/08 | | | |
| DFPI-507C | Call Report Certification Page for State Chartered Banks | 20-Oct | PDF | Commercial Bank |
| DFPI-512 SIQ | Statement Of Identity & Questionnaire | 20-Oct | PDF | Escrow Law |
| DFPI-523 | Report of Income for Foreign Banks | 22-Dec/20-Nov | Adobe Web Form/PDF | Foreign (Other Nation) Bank |
| DFPI-523C | Call Report Certification Page for Foreign Banks | 20-Oct | PDF | Foreign (Other Nation) Bank |
| DFPI-524 | Trust Company Report of Income | 22-Apr/20-Nov | Webform/PDF | Trust Company and Department |
| DFPI-525 | Money Transmitter Call Report Form For Licensees That Are ON the NMLS | 24-Nov | Excel | Money Transmitter |
| DFPI-55 | Appointment of the Commissioner of Financial Protection and Innovation as Attorney for Service of Process | 20-Oct | PDF | Foreign (Other Nation) Bank, Foreign (Other State) Bank |
| DFPI-550 | Emergency Contact Person Information | 20-Sept | PDF | Commercial Bank, BIDCO, Credit Union, Foreign (Other Nation) Bank, Foreign
(other state) Bank, Industrial Bank,Money Transmitter, Premium Finance Companies, Trust Company and Department |
| DFPI-633-A | Translated Notice to Cosigner - Consumer Credit Contracts | 22-Dec | PDF | Consumer |
| DFPI-633-B | Translated Notice to Consigner - Leases | 22-Dec | PDF | Consumer |
| DFPI-65 | This Form has been combined with form DFPI-55. | - | - | |
| DFPI-700 | Application for Authorization to Invest in Corporation | 20-Oct | PDF | Commercial Bank |
| DFPI-704 | Agreement to Comply with Regulations | 20-Oct | PDF | Commercial Bank |
| DFPI-706 | Appointment of Commissioner of Financial Protection and Innovation as Agent for Service of Process | 20-Oct | PDF | Commercial Bank |
| DFPI-75 | This Form has been combined with form DFPI-55. | - | - | |
| DFPI-801 | Consumer Complaint Form - Use for consumer complaints on a DFPI licensee | 24-Sep | PDF | Consumer |
| DFPI-8016 | Request for Live Scan Service and Live Scan Process Instruction Form - Commercial Bank | 23-Dec | PDF | Commercial Bank |
| DFPI-801B | Consumer Complaint Form – Spanish ( Formulario para quejas del consumidor al DFPI) | 24-Sep | PDF | Consumer |
| DFPI-801C | Consumer Complaint Form - Use for consumer complaints on a Property Assessed Clean Energy (PACE) issues | 24-Sep | PDF | Consumer - PACE |
| DFPI-801D | Formulario de Quejas del Consumidor – PROPERTY ASSESSED CLEAN ENERGY (PACE) (PDF) - Consumer Complaint Form - Use for consumer complaints on a Property Assessed Clean Energy (PACE) issues - Spanish | 24-Sep | PDF | Consumer - PACE |
| DFPI-802 | Electronic Surety Bond – California Financing Law | 21-Feb | PDF | California Financing Law |
| DFPI-803 | Citizen Comment or Complaint Form - Use for comments/complaints on the Department, not for complaints on a licensee. | 20-Dec | PDF | Consumer |
| DFPI-803 SP | Citizen Comment or Complaint Form - Use for comments/complaints on the Department, not for complaints on a licensee (Spanish) | 21-Oct | PDF | Consumer |
| DFPI-85 | This Form has been combined with form DFPI-55. | - | - | |
| DFPI-88 | Application for Approval to Act as Approved Depository | 20-Oct | PDF | Commercial Bank, Foreign (Other Nation) Bank |
| DFPI-90 | Agreement of Approved Depository | 20-Oct | PDF | Foreign (Other Nation) Bank |
| DFPI-93 | Application for Approval for Withdrawal and Release of Eligible Assets | 20-Oct | PDF | Commercial Bank, Foreign (Other Nation) Bank |
| DFPI-95 | Report of Applicable Minimum | 20-Dec | PDF | Foreign (Other Nation) Bank |
| DFPI-ADM 500.295 | Instructions for Section 260.141.11 Restriction on Transfer | 20-Nov | PDF | Securities |
| DFPI-ADM 510 | Index of Fees, Fines, and Penalties | 20-Oct | PDF | CACL, Broker-Dealer and Investment Adviser Division (BDIA) |
| DFPI-BDIA 8018 | Request for Live Scan Services - BDIA | 20-Oct | PDF | Broker-Dealer and Investment Adviser Division (BDIA) |
| DFPI-CACL 280.151 | Application for a License under the Capital Access Company Law | 20-Oct | PDF | CACL |
| DFPI-CACL 280.152 | Consent to Service of Process - CACL | 20-Oct | PDF | CACL |
| DFPI-CACL 280.153 | Notice of Officers, Directors, Partners, "Control" Persons, Managers, Members, Trustees and Employees of a Capital Access Company | 20-Oct | PDF | CACL |
| DFPI-CACL 280.200 | Application for Requesting Approval to Surrender Capital Access Company Law License | 20-Oct | PDF | CACL |
| DFPI-CACL 280.250 | Application for Approval to Acquire Control | 20-Oct | PDF | CACL |
| DFPI-CDDTL 2020 - Long Form | Application for License Under the CDDTL - Long Form | 20-Oct | PDF | California Deferred Deposit Transaction (Payday Loan) |
| DFPI-CDDTL 2021 | Short Form Application for a License Under CDDTL | 20-Oct | PDF | California Deferred Deposit Transaction (Payday Loan) |
| DFPI-CDDTL 2022 | Application Information for a License - Deferred Deposit Transaction Law | 20-Oct | PDF | California Deferred Deposit Transaction (Payday Loan) |
| DFPI-CDDTL 2023 | Notice of Fingerprint Processing Requirements Under the California Deferred Deposit Transaction Law | 20-Oct | PDF | California Deferred Deposit Transaction (Payday Loan) |
| DFPI-CDDTL 2025 | Notice of Application Requirements Under The California Deferred Deposit Transaction Law | 20-Oct | PDF | California Deferred Deposit Transaction (Payday Loan) |
| DFPI-CDDTL 8018 | Request for Live Scan Service - Applicant Submission (California Deferred Deposit Transaction License) | 20-Oct | PDF | California Deferred Deposit Transaction (Payday Loan) |
| DFPI-CFL 22066(c)(4) | Application For Exempt Nonprofit Organization Pursuant to Financial Code Section 22066(c)(4) | 20-Nov | PDF | California Financing Law |
| DFPI-CFL 22066(d)(4) | Notice of Partnering Organization Pursuant to Section 22066(d)(4) of the Financial Code | 20-Nov | PDF | California Financing Law |
| DFPI-CFL 8018 | Request for Live Scan Service - Applicant Submission ( CFL License ) | 21-Apr | PDF | California Financing Law |
| DFPI-CFL-1602 | Application for the Pilot Program for Increased Access to Responsible Small Dollar Loans | 20-Nov | PDF | California Financing Law |
| DFPI-CFL-1603 | Notification to Commissioner of Financial Protection and Innovation of Finder Registration | 20-Oct | PDF | California Financing Law |
| DFPI-CFL-1606 | Instructions for Completing the 20XX Annual Report for Licensees Participating in the Pilot Program for Increased Access to Responsible Small Dollar Loans | 20-Nov | PDF | California Financing Law |
| DFPI-CFL-22066(c)(5) | Annual Report for Exempt Nonprofit Organization Pursuant to Financial Code Section 22066(c)(5) | 20-Nov | PDF | California Financing Law |
| DFPI-CRMLA 8019 |
| - | PDF | |
| DFPI-CSCL-104 | Application for Business License | 20-Oct | PDF | Check Sellers, Bill Payers, And Proraters Law |
| DFPI-CSCL-105 | Bond Of Check Seller | 20-Oct | PDF | Check Sellers, Bill Payers, And Proraters Law |
| DFPI-CSCL-109 | Application For Deposit Of Security In Accordance with Section 12223 Of the Finance Code Of The State Of California | 20-Oct | PDF | Check Sellers, Bill Payers, And Proraters Law |
| DFPI-CSCL-110 | Application For Withdrawal Of Security In Accordance with Section 12223 Of the Finance Code Of The State Of California | 20-Oct | PDF | Check Sellers, Bill Payers, And Proraters Law |
| DFPI-CSCL-118 | Nonprofit Community Service Organization Notice And Written Consent | 20-Oct | PDF | Check Sellers, Bill Payers, And Proraters Law |
| DFPI-CSCL-119 | Nonprofit Community Service Organization Audit Report And Declaration | 21-Apr | PDF | Check Sellers, Bill Payers, And Proraters Law |
| DFPI-CSCL-120 | Notice of Dissolution or Termination of Engaging in the Activities of a Prorater | 20-Oct | PDF | Check Sellers, Bill Payers, And Proraters Law |
| DFPI-DC 03 | Debt Collection Advisory Committee Member Form | 24-Jan | PDF | Debt Collection Licensing Program |
| DFPI-DOC-26 | Certificate Of Search Request Form (English) | 20-Nov | PDF | |
| DFPI-DOC-27 | Certificate Of Search Request Form (Spanish) | 20-Nov | PDF | |
| DFPI-EEO 139 | Language Access Complaint Form | 23-May | PDF | |
| DFPI-EEO 139 SP | Language Access Complaint Form (Spanish) | 21-Jan | PDF | |
| DFPI-EL 17213 | Request For Consent To Transfer An Interest In An Escrow Agents License | 20-Oct | PDF | Escrow Law |
| DFPI-EL 1726 | Notice Of Officers, Directors, Trustees, Employees Or Other Persons Directly Or Indirectly Compensated By Escrow Agents | 20-Oct | PDF | Escrow Law |
| DFPI-EL 1726A | Affidavit | 20-Nov | PDF | Escrow Law |
| DFPI-EL 17419 | Statement of Identity & Employment Application | 21-Apr | PDF | Escrow Law |
| DFPI-EL 301 | Application For License Under The Escrow Law | 20-Oct | PDF | Escrow Law |
| DFPI-EL 301A | General Information regarding the Application for Escrow Agents, Joint Control, and/or Internet Escrow Agents License | 20-Nov | PDF | Escrow Law |
| DFPI-EL 302 | Application For A License To Establish A Branch Office | 20-Oct | PDF | Escrow Law |
| DFPI-EL 303 | Bond of Escrow Licensee | 20-Oct | PDF | Escrow Law |
| DFPI-EL 303A | Bond of Escrow Licensee (For Fidelity Bond Deductible) | 20-Oct | PDF | Escrow Law |
| DFPI-EL 314 | Instructions for Establishing Records and Accounts Pursuant to the Escrow Law | 20-Nov | PDF | Escrow Law |
| DFPI-EL 315 | California Escrow Law Audit Report | 20-Nov | PDF | Escrow Law |
| DFPI-EL 321 | Assignment To Commissioner Of Financial Protection and Innovation | 20-Oct | PDF | Escrow Law |
| DFPI-EL 321A | Instructions for Deposit of Cash in Lieu of Surety Bond | 20-Oct | PDF | Escrow Law |
| DFPI-EL 323A | Time Certificate or Certificate of Deposit | 20-Oct | PDF | Escrow Law |
| DFPI-EL 326 | Application For Authorization To Change Ownership | 20-Oct | PDF | Escrow Law |
| DFPI-EL 330 | Escrow Agent Manager Questionnaire | 20-Nov | PDF | Escrow Law |
| DFPI-EL 336 | Subordination Agreement | 20-Oct | PDF | Escrow Law |
| DFPI-EL 338 | General Information on the Licensing and Regulation of Independent Escrow Agents | 20-Nov | PDF | Escrow Law |
| DFPI-EL 339 | Revised Notice of Fingerprint Processing Requirements under the Escrow Law | 20-Nov | PDF | Escrow Law |
| DFPI-EL 8018 | Request for Live Scan Service - Applicant Submission ( Escrow Agents License)
| 20-Oct | PDF | Escrow Law |
| DFPI-EL 805 | Consent To Service Of Process - Escrow Law | 20-Oct | PDF | Escrow Law |
| DFPI-ENF 53 | Citizen Complaint Against Peace Officer Form | 20-Nov | PDF | Consumer |
| DFPI-ENF 53 SP | Citizen Complaint Against Peace Officer Form (Spanish) | 21-Oct | PDF | Consumer |
| DFPI-ENF 53A | Policy Governing Citizen Complaints Against Peace Officers | 20-Nov | PDF | Consumer |
| DFPI-ENF 53A SP | Policy Governing Citizen Complaints Against Peace Officers (Spanish) | 21-Oct | PDF | Consumer |
| DFPI-ESC 17213.1 | California Escrow Law Change of Address Form | 20-Nov | PDF | Escrow Law |
DFPI-FDIC 3064-0006
| Interagency Biographical and Financial Report Form | 21-Aug | PDF | Commercial Banks, Industrial Banks, Money Transmitter, Foreign (Other Nation) Bank, Premium Finance Companies, Trust Company and Department |
DFPI-FDIC 3064-0006
Instructions | Department of Financial Protection and Innovation Supplemental Instructions | 22-Jun | PDF | Commercial Banks, Industrial Banks, Money Transmitter, Foreign (Other Nation) Bank, Premium Finance Companies, Trust Company and Department |
| DFPI-LE-500.262 | Customer Authorization of Disclosure of Financial Records - Escrow | 20-Nov | PDF | Escrow Law |
| DFPI-LF 596 | Summary of Personnel | 20-Nov | PDF | Escrow Law |
| DFPI-MBL 1950.122.2 | Notice of Officers, Directors, Partners, "Control" Persons, Managers, Members, Trustees and Employees of a Residential Mortgage Lender, Residential Mortgage Lender and Servicer or Residential Mortgage Loan Servicer | 20-Oct | PDF | California Residential Mortgage Lending Act (CRMLA) |
| DFPI-MBL 1950.122B | Customer Authorization for Disclosure of Financial Records | 21-Aug | PDF | California Residential Mortgage Lending Act (CRMLA) |
| DFPI-MBL 1950.122C | Notice of Fingerprint Processing Requirements under the California Residential Mortgage Lending Act | 20-Dec | PDF | California Residential Mortgage Lending Act (CRMLA) |
| DFPI-MTD 8016 | Request For Live Scan Service - Applicant Submission ( Money Transmitter) | 23-Dec | PDF | Money Transmitter |
| DFPI-QR 500.265 | Customer Authorization of Disclosure of Financial Records - Franchise | 20-Nov | PDF | Franchise Investment Law |
| DFPI-QR-500.259 | Customer Authorization Of Disclosure Of Financial Records - Securities | 20-Nov | PDF | Securities |
| DFPI-QR-500.261 | Customer Authorization Of Disclosure Of Financial Records-Broker - Dealer and Investment Adviser Division (BDIA) | 20-Nov | PDF | Broker-Dealer and Investment Adviser Division (BDIA) |
| DFPI-SB 978 | Real Estate Related Information Required Pursuant To Corporations Code Section 25102.2 | 20-Nov | PDF | |
| DFPI-SCOR-260.113 | Small Corporate Offering Registration Form | 20-Nov | PDF | Securities |
| DFPI-SLS 100 | Supplemental Request for Information | 20-Oct | PDF | Student Loan Servicing Program |
| DFPI-SLS 101 | Appointment of Commissioner of Financial Protection and Innovation as Agent for Service of Process | 20-Oct | PDF | Student Loan Servicing Program |
| DFPI-SRD 500.526 | A Consumer's Guide to Small Business Investments | 20-Nov | PDF | Securities |
| DFPI-SRD 500.526 SP | A Consumer's Guide to Small Business Investments (Spanish) | 21-Oct | PDF | Securities |
| DFPI-SRD-QR 518 | Look Before You Leap - Guide to Buying a Franchise | 20-Dec | PDF | Securities
|
| HDN-1 | 2023 Holden Act Report (HDN-1) Instructions and Forms | 24-Sep | PDF | California Residential Mortgage Lending Act (CRMLA) |
| HUD-GFE | Good Faith Estimate Form (GFE). Available in the following languages: | 21-Feb | PDF | |
| U4 | Uniform Application for Securities Industry Regulation or Transfer | 09-May | PDF | Broker-Dealer and Investment Adviser Division (BDIA) |
| U5 | Uniform Termination Notice for Securities Industry Registration
| 09-May | PDF | Broker-Dealer and Investment Adviser Division (BDIA) |
| U10 | Test Enrollment Services System (TESS) went live April 2017 as a replacement for the Form U10 process. Individuals who are not registered in CRD enroll for FINRA, NASAA, MSRB, NFA, FDIC exams and CE sessions via TESS. | | Online | Investment Adviser |
