Legal Division

California Code of Regulations

• Financial Institutions Regulations
• Corporations Regulations

Laws and Regulations

• Regulations / Rulemaking
• Actions, Orders and Administrative Hearing Decisions
• Legislation for the Department of Financial Protection and Innovation (2013-2020)

Division of Financial Institutions

• Information on Central Locations for Service of Legal Process 
• Legal precedent system
• Opinion letters 
• Division of Financial Institutions Releases
• Rulemaking
• Q&A: How do I receive approval of a corporate name?

Fairness Hearings

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 the Department Fairness hearings 2010 – 2020 (PDF).

Public Records Act Requests

• Guidelines for Requesting Records under the California Public Records Act (PDF)
• File a California Public Records Act Request Electronically on DFPI’s Self Service Portal

Additional Links

• Tribal Consultation Policy
• To receive notices of DFPI rule-making, subscribe to our e-mail subscription service
• Commissioner’s Release 61-C: Requesting an Interpretive Opinion (PDF)