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Home, About the DFPI and Publications
About the DFPI
DFPI Divisions and Programs
- Administrative Division
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- Consumer Services Office
- Division of Corporations and Financial Institutions
Publication – Reports
Division of Corporations and Financial Institutions
- Broker-Dealer/Investment Advisers Reports
- California Financing Law Reports
- California Deferred Deposit Transaction Reports (Payday Lenders)
- California Residential Mortgage Lending Act Annual Reports
- Corporate Securities Law Reports
- Financial Institutions Monthly Summary of Pending Applications
- Financial Institution Quarterly Statistics
- Financial Institution Annual Activity Reports
- Financial Institutions Executive Officer and Director Compensation Surveys
Forms
Licensees
- Bank Forms
- Broker-Dealer Applications & Forms
- California Deferred Deposit Transaction (Payday Loan) Law Forms
- California Residential Mortgage Lending Act Forms
- Credit Union Forms / Credit Union 5300 Call Reports
- Escrow Law – Forms
- Foreign (Other Nation) Banks Forms
- Franchise forms and applications
- Industrial Bank Forms
- Money Transmitter Forms
- Premium Finance Companies Forms
- Securities Forms
- Trust Company and Department Forms
Laws
- California Legislative Information
- Title 10, Chapter 1
Regulations impacting banks, credit unions, trust companies, premium finance companies, industrial banks, public banks, and money transmitters, among others under the Financial Institutions Law.
- Title 1, Chapter 3
Regulations impacting finance lenders and brokers, residential mortgage lenders and servicers, mortgage loan originators, escrow agents, deferred deposit originators, broker-dealers, investment advisers, student loan servicers, securities offerings, franchise offerings, and PACE program administrators, among others.
- Legislation (2013-2018)
Regulations
Public Records Act Requests
California Consumer Financial Protection Law
Securities Laws
- About Corporate Securities Law of 1968
- About securities regulation
- Fairness hearings
- California Crowdfunding Exemption
Investment and Financial Services Laws
- Opinion letters
- Precedent decisions
- Releases
- Rulemaking
- California Financing Law: Regulations, Legislation, Opinions, Releases
- Escrow Law – Regulations, Legislation, Opinions, Releases, and Notices
- Law and Regulations – Capital Access Company Law
- Law and Regulations – Check Sellers, Bill Payers and Proraters Law
- Law and Regulations – Corporate Securities Law
- Law and Regulations – Payday Lenders
- Law and Regulations – Securities Depository Law
- Laws and Regulations – California Residential Mortgage Lending Act
- Laws and Regulations – Student Loan Servicing Act
- Regulations and Legislation – Franchise Investment Law
The Financial Institutions Laws
- Information on Central Locations for Service of Legal Process
- Legal precedent system
- Opinion letters
- Financial Institutions Releases
- Rulemaking
Fairness Hearings
Information about Fairness Hearings
Additional Links
- Tribal Consultation Policy
- To receive notices of DFPI rule-making, subscribe to our e-mail subscription service
Enforcement Actions and Orders
- Enforcement Actions and Orders A
- Enforcement Actions and Orders B
- Enforcement Actions and Orders C
- Enforcement Actions and Orders D
- Enforcement Actions and Orders E
- Enforcement Actions and Orders F
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- Enforcement Actions and Orders P
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- Enforcement Actions and Orders T
- Enforcement Actions and Orders U
- Enforcement Actions and Orders V
- Enforcement Actions and Orders W
- Enforcement Actions and Orders X
- Enforcement Actions and Orders Z
- Enforcement Actions and Orders Numbers
- Enforcement Actions and Orders Chron
Licensee Search
Find Financial Institution or Money Transmitter
- Bank Search
- Credit Union Search
- Money Transmitters Search
- Foreign (Other Nation) Bank (Agency and Branch) Search
- Foreign (Other State) Bank (Representative Office) Search
- Industrial Bank Search
- Premium Finance Company Search
- Local Agency Security Program Search
- Trust Company and Department Search
Find Financial Service Provider
- Mortgage Lender and Servicer Search
- Payday Lender Search
- Finance Lender and Broker Search
- PACE Program Administrator Search
- Escrow Agent and Company Search
- Check Seller, Bill Payer and Prorater Search
- Franchise Search
- Student Loan Servicers Search
Financial Institutions Directory
- Directory of State Chartered Credit Unions
- Directory of State Chartered Commercial Banks
- Directory of Foreign Banks
- Directory of Foreign Representatives
- Directory of Premium Finance Companies
- Directory of State Chartered Industrial Banks
- Directory of Money Transmitters
- Directory of Trust Companies
- Directory of Trust Departments
Banks
Publications
Laws and regulations
- California Code of Regulations
- California Financial Code Reference
- California State Bank Charter – The Charter of Choice
Tools and Resources
Broker-Dealers and Investment Advisers
For the Consumer
- File a Complaint
- Check out your Broker
- Check out your Money Manager, Financial Planner, or other Investment Adviser
Broker-Dealer Information
- About Broker-Dealers and Broker Dealer Agents
- Broker-Dealer applications and forms
- Requirements after a Broker-Dealer Certificate has been issued
Investment Adviser Information
- What is a State Licensed Investment Adviser
- What is a SEC Registered Investment Adviser
- Investment Adviser Application – Did you Know?
- Investment Adviser – Check List
- Investment Adviser Minimum Financial and Reporting Requirements
- Investment Adviser Post-Effective Requirements – State Licensed
- Investment Adviser Applications & Forms
- Information regarding Part 2 of Form ADV
- Dodd-Frank Wall Street Reform and Consumer Protection Act Information
Investment Adviser Representative
- What is a State Licensed Investment Adviser Representative?
- What is a SEC Registered Investment Adviser Representative?
- Investment Adviser Applications & Forms
Broker-Dealer Applications & Forms
- INFORMATION TO ASSIST PERSONS MAKING A NOTICE FILING
- INSTRUCTIONS FOR COMPLETING AND FILING APPLICATION FOR INVESTMENT ADVISER CERTIFICATE ON FORM ADV (Uniform Application for Investment Adviser Registration)(17 CFR 279.1)
- Information to Assist Persons Applying for an Investment Adviser Certificate
Archived News
California Deferred Deposit Originators (Payday Lenders)
Licensee information
- Questions and Answers Regarding Licensing and Conducting Business (FAQ)
- Requirements After a CDDTL License Has Been Issued
Publications and Forms
Laws and Regulations
- CDDTL Law (Financial Code Division 10)
- Regulations, Legislation, Commissioner’s Opinions and Releases
Licensee Resources
California Residential Mortgage Lenders
Consumer Information
Licensee Questions
- Who is Required to Obtain a License or Branch License under the CRMLA?
- How Do I Apply for a CRMLA License or Authorize a Branch Office under the CRMLA
- Requirements After a CRMLA License has been issued
- How Do I Amend CRMLA License or authorize a Branch Office under the CRMLA
- How Do I Surrender a CRMLA License or Branch Office Authorization under the CRMLA
- Frequently Asked Questions about California Residential Mortgage Lenders
Publications
- California Residential Mortgage Lenders Reports
- Bona Fide Nonprofit Affordable Housing Organizations
- Forms
Laws and Regulations
Check Sellers, Bill Payers and Proraters
Consumer Information
- Filing a Complaint
- Active Licensees Under Check Sellers, Bill Payers, and Proraters Law (PDF)
- Search the Licensee Listing
- Check out your Credit Counseling Agency
- Nonprofit Community Service Organizations (PDF)
Publications
- Check Sellers, Bill Payers and Proraters – Forms
- Check Sellers, Bill Payers and Proraters – Publications
Laws and Regulations
Credit Unions
Publication and Forms
- Directory of State Chartered Credit Unions
- Credit Union Forms / Credit Union 5300 Call Reports
- Credit Union Statistics
Laws and Regulations
- California Code of Regulations – Credit Union
- California Financial Code Reference – Credit Union
- Credit Union Advisory Committee
- Actions, Orders and Administrative Hearing Decisions
- Opinions
Tools and Resources
California Financing Law
Archived Announcements
Frequently Asked Questions
Consumer Information
- Bona Fide Nonprofit Affordable Housing Organizations
- Finance Lender Consumer Information
- Search the Licensee Listing
Licensee Information
- Who is Required to Obtain a Finance Lenders License or Branch License under the California Financing Law?
- How Do I Apply for a Finance Lenders License or Authorize a Branch Office under the California Financing Law?
- How Do I Amend a Finance Lenders License or a Branch Office License under the California Financing Law?
- How Do I Surrender a Finance Lenders License or a Branch Office License under the California Financing Law?
- Requirements after a Finance Lenders License has been Issued
Publication and Forms
- Forms and application
- Translated Residential Mortgage Loan Forms and Pre-Foreclosure Notices
- California Financing Law Reports
Laws and Regulation
- About California Financing Law
- California Financing Law – Regulations, Legislation, Opinions, Releases
Resources
Escrow Law – Licensee Information
What’s New
Licensee Information
- Frequently Asked Questions about Escrow Law
- Who is required to obtain a license?
- How do I apply for a license?
- Requirements after an Escrow license has been issued
Publications and Forms
- Escrow Law – Publications
- Escrow Bulletin – June 2010 – Issue 34 (PDF)
- Escrow Bulletin – March 2009 – Issue 33 (PDF)
- Escrow Bulletin – January 2007 – Issue 31 (PDF)
- Escrow Law – Forms
Laws and Regulations
- About the Escrow Law
- General Definitions
- Escrow Agent’s Advisory Committee
- Escrow Agents: Employee Disciplinary Actions
- Escrow Law – Regulations, Legislation, Opinions, Releases, Notices
Resources
Foreign (Other Nation) Banks
Publications
- Directory of Foreign Banks Agencies and Branches
- Directory of Foreign Representative Offices
- Foreign Banks Forms
- Foreign Banks Statistics
- Link to Foreign (Other State) Bank Forms
Laws and Regulations
Tools and Resources
Franchise Investment Law
Registration and Forms
- Registration Frequently Asked Questions
- Portal Filing Instructions for Franchise Registrations
- How to File a Complete Franchise Application
- Franchise Investment Law Forms
Laws and Regulations
- About the California Franchise Investment Law
- Commissioner of the Department of Financial Protection and Innovation’s Regulations
Subchapter 2.6 (commencing with Section 310.002) of Chapter 3 of Title 10, California Code of Regulations) - California Franchise Relations Act
- FTC Franchise Rule
See Federal Trade Commission Rule 436 (FTC Rule 436)(16 CFR Part 436) - Regulations and Legislation
Resources
Money Transmitter Division
Publications
Laws and Regulations
- California Legislative Information – California Financial Code Reference
- California Legislative Information – California Financial Code – Division 1.2, Section 2000 – 2176
- Money Transmission Act
- Federal Laws and Requirements Applicable to Money Transmitters
- Invitation for Comments- Money Transmission Act – Regulations
- Actions, Orders and Administrative Hearing Decisions
- Opinions
- Regulatory and Industry Links
Tools and Resources
Mortgage Loan Originators
About and Questions
Consumer Information
- Bona Fide Nonprofit Affordable Housing Organizations
- How to File a Complaint
- Verify an MLO license through NMLS Consumer Access
Licensee Information
Application
PACE Program Administrators
PACE (Property Assessed Clean Energy): What Homeowners Need to Know
Search for Enrolled PACE Solicitors or Enrolled PACE Solicitor Agents
Regulations
Summary of Operative Dates
Frequently Asked Questions about PACE
Student Loan Servicers
Student Loans – Student Loan Servicing Program
Student Borrower Resources
- Back on track
- Back on track Spanish
- Student Borrower Toolkit
- List of participating student loan servicers
- Frequently Asked Questions – Private Student Loan Relief
Directory of Student Loan Servicers Licensed by the Department of Financial Protection and Innovation
Student Loans – Student Loan Servicing Program
Laws and Regulations
Most Requested Pages:
- Licensees and Industries Regulated by the Department
- Licensee and Financial Service Provider Search
- Central Locations for Service of Legal Process
Foreclosure Protection and Relief
DFPI Consumer Resources
- Consumer Financial Education and Resources
- Consumers – Who Regulates a Financial Institution
- DFPI Education and Outreach
- DFPI Survey Procedures
- Frequently Asked Questions (FAQs)
- Glossary of Financial Terms
- Laws/Regulations
- Open Government (California Public Records Act)
- Our Partnerships
- What does the DFPI license and regulate?