Instructions for Form DFPI-260.112 Application for Qualification of Issuer Transactions by Notification - California

This document contains official instructions for Form DFPI-260.112 , Application for Qualification of Issuer Transactions by Notification - a form released and collected by the California Department of Financial Protection and Innovation.

FAQ

Q: What is Form DFPI-260.112?
A: Form DFPI-260.112 is the application form used for qualification of issuer transactions by notification in California.

Q: What is the purpose of Form DFPI-260.112?
A: The purpose of Form DFPI-260.112 is to apply for qualification of issuer transactions by notification in California.

Q: What are issuer transactions?
A: Issuer transactions refer to certain offerings and sales of securities conducted by an issuer.

Q: What does it mean to qualify an issuer transaction by notification?
A: Qualifying an issuer transaction by notification means obtaining approval from the DFPI without going through a full review and formal qualification process.

Q: Who is eligible to use Form DFPI-260.112?
A: Issuers who meet the eligibility criteria outlined in the instructions can use Form DFPI-260.112.

Q: Are there any fees associated with submitting Form DFPI-260.112?
A: Yes, there are fees associated with submitting Form DFPI-260.112. The fee schedule is provided in the instructions.

Q: What supporting documents should be included with Form DFPI-260.112?
A: The instructions outline the specific supporting documents that should be included with Form DFPI-260.112.

Q: Can I make changes or amendments to a submitted Form DFPI-260.112?
A: Yes, you can make changes or amendments to a submitted Form DFPI-260.112. Please refer to the instructions for the process.