California Department of Financial Protection and Innovation Forms

This form is used for applying for qualification by coordination in the state of California. It is used by individuals or companies seeking to coordinate their securities offerings with federal regulations.

This form is used for applying to qualify recapitalizations and reorganizations under Section 260.121 in California.

This form is used for applying to remove conditions imposed under the Corporate Securities Law of 1968 in the state of California.

This document is a facing page for Form DBO-260.110 used in the state of California.

This form is used for applying for a Broker Dealer Certificate in the state of California through a notification process.

This form is used for applying for approval of a merger in California. It is required to legally merge two or more entities.

This form is used for giving consent to be served legal documents in California.

This form is used for notifying the release of securities from escrow in the state of California.

This form is used for submitting a semi-annual report as required by Section 25146 of the Corporate Securities Law of 1968 in California.

This form is used for applying for consent to transfer securities in California, as required by Section 25151 of the Corporate Securities Law of 1968.

This Form is used for providing a statement from the transferee that needs to accompany an application for consent to transfer securities in California, when the securities are subject to a legend or escrow condition.

This form is used for verifying compliance with California Code of Regulations Rule 260.241.2(B) in California.

This document is used for filing a notice of exemption under specific sections of the Corporations Code in California Franchise Investment Law.

This Form is used for renewing a franchise registration in California.

This form is used for providing notice of the negotiated sale of a franchise under the Franchise Investment Law in California.

This form is used for notifying the California Corporations Code Section 31106 of a transaction that is exempt.

This form is used for notifying the merger of credit unions in the state of California.

This form is used for filing a certificate of merger for a credit union that is no longer in operation in the state of California.

This form is used for credit unions in California to provide an officers' certificate regarding the giving of notice.

This document is used for filing a Certificate of Merger of a surviving credit union in California. It provides a sample of the form DBO-350.

This form is used for calculating the minimum financial requirements for businesses in California. It helps determine if businesses meet the financial criteria required to operate in the state.

This document provides instructions for completing Form DBO-502 Trust Company Consolidated Report of Condition in California. It outlines the requirements and guidelines for accurately reporting the financial condition of a trust company.

This Form is used for foreign banks operating in California to certify their call report.

This document is a certification page for state-chartered banks in California to report their call reports.

This Form is used for appointing the Commissioner of Business Oversight as the agent for service of process in the state of California.

This form is used for applying for approval for the form of an offer to repurchase a security under a specific section of the Corporate Securities Law of 1968 in California.

This document is used to provide instructions for completing Form DBO-524 Trust Company Consolidated Report of Income for California. It provides detailed guidance on how to accurately report income for trust companies in the state of California.

This form is used for creating a plan of merger for credit unions in California.

This document is a form used in California to show agreement to comply with regulations.

This document provides instructions for completing Form DBO-1004, which is used for transferring collateral in the Local Agency Security Program in California.

This form is used for transferring collateral under the Local Agency Security Program in California.

This form is used for reporting weekly deposits made by local agencies in California.

This form is used for reporting local agency deposits and securities in California.

This form is used for applying for authorization to invest in a corporation in the state of California. It is necessary to complete this form to seek permission to invest in a California corporation.

This form is used for completing a stock purchase questionnaire in the state of California.

This Form DBO-380 Credit Union Official - Questionnaire is used for gathering information from credit unions in California.

This document provides instructions for completing Form DBO-505 Schedule T, which is used to report fiduciary and related services in the state of California.