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
  Internal Control Guidelines 08-13 PDF
  Affidavit 06-13 PDF
DBO-BC8018 EL Request for Live Scan Service - Applicant Submission 05-16 PDF
DBO-EL 301 Application for License under the Escrow Law 05-16 PDF
DBO-EL 301A General Information regarding the Application for Escrow Agents, Joint Control, and/or Internet Escrow Agents License 08-13 PDF
DBO-EL 302 Application for a License to Establish a Branch Office 05-16 PDF
DBO-EL 303

Bond of Escrow Licensee  and Instructions for Completion of Surety Bond Form

Notice to Escrow Applicants and Licensees New Escrow Surety Bond Form Requirements Effective January 1, 2014

05-16  
DBO-EL 303A Bond of Escrow Agent (For Fidelity Bond Deductible) 05-16 PDF
DBO-EL 314 Instructions for Establishing Records and Accounts Pursuant to the Escrow Law 08-13 PDF
DBO-EL 315 California Escrow Law Audit Report   PDF
DBO-EL 321

Assignment to Commissioner of Business Oversight Pursuant to Financial Code Section 17202.1

 

05-16 PDF
DBO-EL 323A Time Certificate or Certificate of Deposit 05-16 PDF
DBO-EL 326 Application for Authorization to Change Ownership 05-16 PDF
DBO-EL 330 Escrow Agent Manager Questionnaire 05-16 PDF
DBO-EL 336 Subordination Agreement 05-16 PDF
DBO-EL 338 General Information on the Licensing and Regulation of Independent Escrow Agents 08-13 PDF
DBO-EL 339 Revised Notice of Fingerprint Processing Requirements Under the Escrow Law 08-13 PDF
DBO-EL-512-SIQ Statement Of Identity & Questionnaire 05-16 PDF
DBO-EL 805 Consent to Service Process 05-16 PDF

DBO-EL 17213

Request for Consent to Transfer an Interest in an Escrow Agent's License 08-13 PDF
DBO-EL 1726 Notice of Officers, Directors, Trustees, Employees or Other Persons Directly or Indirectly Compensated by Escrow Agents 05-16 PDF
DBO-EL 17419 Statement of Identity and Employment Application 05-16 PDF
DBO-LE 500.262 Customer Authorization of Disclosure of Financial Records 08-13 PDF
DBO-LF 596 Summary of Personnel 09-13 PDF
DBO-MBL 1950.122.2 Notice of Officers, Directors, Partners, "Control" Persons, Managers, Members, Trustees and Employees of a Residential Mortgage Lender, Residential Mortgage Lender and Servicer or Residential Mortgage Loan Servicer 05-16 PDF

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