Forms and Applications - Capital Access Companies
Department of Business Oversight 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)
|Form Number||Form Title||Revised||Format|
|ADM 510||Index of Fees, Fines and Penalties||07-13|
|CACL 280.151||Application for a License under the Capital Access Company Law||08-13|
|CACL 280.152||Consent to Service of Process||08-13|
|CACL 280.153||Notice of Officers, Directors, Partners, "Control" Persons, Managers, Members, Trustees and Employees of a Capital Access Company||08-13|
|CACL 280.200||Application for Requesting Approval to Surrender Capital Access Company License||08-13|
|CACL 280.250||Application for Approval to Acquire Control, Merger with or Purchase or Sell all or substantially all of the Business of Another Person, or to Sell all or substantially all of the Licensee's Business or of the Business of any of the Licensee's Offices to another Licensee|
Capital Access Company applications are only accepted by the Department of Business Oversight's Sacramento Office.
To view the files you MUST have Adobe Acrobat Reader installed on your system. Click here for download instructions for PDF. To find which is the proper office to file your application and or notice, please refer to Commissioner's Release 13-G (PDF).