- California is a merit jurisdiction.
- California accepts the Uniform Application to Register Securities (Form U1), and allows for electronic signature of forms.
- Registration requires filing or delivery of:
- Filing fee
- Application form
- Financial statements
- A Consent to Service of Process (Form U2)
- SEC Form 1-A with exhibits
- Customer Authorization Form
- California collects a variable fee: $200 plus 1/5 of 1% of the maximum aggregate offering price of the securities being qualified. Fees should be payable to “Department of Business Oversight”. Payments should be sent to the following address:
| Mailing Address: | Courier Address: |
| Department of Financial Protection & Innovation 21001 Arena Blvd. Sacramento, CA 95834 |
Department of Financial Protection & Innovation 21001 Arena Blvd. Sacramento, CA 95834 |
- For additional information, please contact the state securities regulator.
Phone Number: 866-275-2677
Email: Ask.DFPI@dfpi.ca.gov
*When calling or emailing, please request the inquiry be routed to SRD.
