Legal Division The Legal Division attorneys serve as in-house legal counsel for all DFPI programs. The Legal Division is responsible for analyzing legislation, promulgating regulations, and responding to requests for interpretive opinions from licensees and the public. The Legal Division also is responsible for regulating the offer and sale of securities and franchises in California. California Legislative Information California Financial Code California Corporations Code California Code of Regulations Division of Financial Institutions Regulations Division of Corporations Regulations Laws and Regulations Regulations / Rulemaking Actions, Orders and Administrative Hearing Decisions Legislation for the Department of Financial Protection and Innovation (2013-2019) Division of Corporations About Corporate Securities Law of 1968 About securities regulation Fairness hearings Laws administered by the division Opinion letters Precedent decisions Division of Corporations Releases Rulemaking 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) Key Consumer Links Consumer Alerts Consumer Advisories Search for DFPI Licensees Licensees and Industries Regulated by the DFPI Actions, Orders and Administrative Hearing Decisions File a complaint Submit a Public Records Request News & Info LinksNews Newsroom Press Releases Monthly Bulletins Important Notices Information DFPI Forms Resources Last updated: Oct 7, 2020 @ 1:29 pm
