Capital Access Company Law

Senate Bill 2189 (Chapter 668, Statutes 1998) enacted the Capital Access Company Law (the “CACL”), which, among other things, provides for the licensure and regulation of capital access companies by the Commissioner of Business Oversight. This law, which is found at Corporations Code Section 28000 et seq., became operative on July 1, 1999, and is intended to facilitate California small businesses obtaining financing by enabling certain investment companies to rely on an exemption from registration under the federal Investment Company Act of 1940 (the “Investment Company Act”). Read more About the Law.

How to reach us:

Department of Business Oversight
Broker-Dealer and Investment Adviser Division
1515 K Street, Suite 200
Sacramento, CA 95814

Phone: (916) 322-6270

Fax: (916) 445-7193

Email: IAAPP@dbo.ca.gov

Capital Access Companies Forms and Applications

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)

The table below contains a list of Capital Access Companies Forms and Applications
Form Number Form Title Revised Format
ADM 510 Index of Fees, Fines and Penalties 02-18 PDF
CACL 280.151 Application for a License under the Capital Access Company Law 10-17 PDF
CACL 280.152 Consent to Service of Process 10-17 PDF
CACL 280.153 Notice of Officers, Directors, Partners, “Control” Persons, Managers, Members, Trustees and Employees of a Capital Access Company 10-17 PDF
CACL 280.200 Application for Requesting Approval to Surrender Capital Access Company Law License 10-17 PDF
CACL 280.250 Application for Approval to Acquire Control 10-17 PDF

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).

Last updated: Aug 22, 2019 @ 3:25 pm