Senate Bill 2189 (Chapter 668, Statutes 1998) enacted the Capital Access Company Law (the “CACL”), which, among other things, provides for the licensure and regulation of capital access companies by the Commissioner of the Department of Financial Protection and Innovation. This law, which is found at Corporations Code Section 28000 et seq., became operative on July 1, 1999, and is intended to facilitate California small businesses obtaining financing by enabling certain investment companies to rely on an exemption from registration under the federal Investment Company Act of 1940 (the “Investment Company Act”). Read more About the Law.
Laws & Regulations
Forms
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)
The table below contains a list of Capital Access Companies Forms and Applications.
| Form Number | Form Title | Format |
|---|---|---|
| ADM 510 | Index of Fees, Fines and Penalties | |
| CACL 280.151 | Application for a License under the Capital Access Company Law | |
| CACL 280.152 | Consent to Service of Process | |
| CACL 280.153 | Notice of Officers, Directors, Partners, “Control” Persons, Managers, Members, Trustees and Employees of a Capital Access Company | |
| CACL 280.200 | Application for Requesting Approval to Surrender Capital Access Company Law License | |
| CACL 280.250 | Application for Approval to Acquire Control |
Capital Access Company applications are only accepted by the Department of Financial Protection and Innovation’s Sacramento Office.
To view these files you MUST have Adobe Acrobat Reader or another PDF-reading compatible program installed on your system. Visit our help page for more information on installing Adobe Acrobat Reader. To find which is the proper office to file your application and or notice, please refer to Commissioner’s Release 13-G (PDF).
How to reach us:
Department of Financial Protection and Innovation
Broker-Dealer and Investment Adviser Division
2101 Arena Boulevard
Sacramento, CA 95834
Phone: (916) 576-3638
Fax: (916) 445-7193
Email: [email protected]