Forms and Applications - Securities

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
260.100.3 Request For Order of Exemption Pursuant to Subdivision (1) of Section 25100 of the Corporate Securities Law of 1968   PDF
260.102.8(a) Notice of Issuance of Securities Pursuant to Corporations Code Section 25102(h)   PDF
260.102.8(b) Consent to Service of Process   PDF
260.103.6(b) Notice of Exchange Transaction Pursuant to Corporations Code Section 25103(h)   PDF
260.105.33/34 Notice for Senior to Listed Securities   PDF
260.110 Notice to Applicants - Use of a Cross-Reference Sheet    
260.110 Facing Page for Application for Qualification of the Offer & Sale of Securities under the Corporate Securities Law of 1968   PDF
260.111 Instructions for Qualification by Coordination   PDF
260.112 Instructions for Application by Notification   PDF
260.113 Instructions for Application by Permit   PDF
260.121 Instructions for Application for Qualification and Recapitalization   PDF
260.131 Qualification of Non-Issuer Transaction by Notification   PDF
260.141.50 Application for Removal of Condition   PDF
260.151(a) Application for Consent to Transfer Securities (include 260.151(b))   PDF
260.151(b) Statement of Transferee (include 260.151(a))   PDF
260.165 Consent to Service of Process 260.165   PDF
260.507 Application for Repurchase Offer Approval   PDF

25100.1(b)

Notice of Issuance of Securities by An Investment Company Pursuant to Corporations Code Section 25100.1(b)   PDF
25102.2 Real Estate Related Information Required Pursuant to Corporations Code Section 25102.2   PDF
25102(f) Notice of Transaction Pursuant to Corporations Code Section 25102(f)   PDF
25102(n) First Notice of Transaction Pursuant to Corporations Code Section 25102(n)
25102n packet including instructions and forms.
  PDF
25102(n) Second Notice of Transaction Pursuant to Corporations Code Section 25102(n)
25102n packet including instructions and forms.
  PDF
25102(o) Notice of Issuance of Shares Pursuant to Corporations Code Section 25102(o)   PDF
QR 500.259 Customer Authorization of Disclosure of Financial Records and Instructions