The Corporate Securities Law of 1968 stipulated that all securities offered or sold must be either qualified with the Commissioner of Corporations or exempted from registration by a specific Rule of the Commissioner or specific law. Like federal securities laws and the blue sky laws of other states, the Corporate Securities Law of 1968 is intended to protect the public from fraud and deception in transactions involving securities.
Laws & Regulations
For the Consumer
For Business
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 Fairness hearings.
Frequently Asked Questions and Answers
For Securities FAQ, visit here
Questions and answers about Section 25102(f) Notice Filing, Form D Filings, Section 25102(o) Notice Filing, Section 25113(e) Regulatory Examination of Securities, Investment Company Notice Filings and Miscellaneous.
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 Securities Forms
Contact the Sacramento Office
Department of Financial Protection and Innovation
2101 Arena Boulevard
Sacramento, CA 95834
Phone: (866)-275-2677
Email: [email protected]
Contact the San Francisco Office
Department of Financial Protection and Innovation
One Sansome Street, Suite 600
San Francisco, CA 94104-4428
Phone: (866)-275-2677
Email: [email protected]
Contact the Los Angeles Office
Department of Financial Protection and Innovation
320 West 4th Street, Suite 750
Los Angeles, CA 90013-2344
Phone: (866)-275-2677
Email: [email protected]