Capital for Business - DFPI
Source: https://dfpi.ca.gov/regulated-industries/capital-for-business
Archived: 2026-04-23 17:25
Capital for Business - DFPI
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Capital for Business
The Capital Access Company Law facilitates California small businesses obtaining financing. Through registration and oversight under the law, the DFPI supports a healthy and trusted financial marketplace.
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 the Department of Financial Protection and Innovation. 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
.
Laws & Regulations
About the Law
Requirements for a Capital Access Company
Regulations & Legislation
Forms
Department of Financial Protection and Innovation 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
Format
ADM 510
Index of Fees, Fines and Penalties
PDF
CACL 280.151
Application for a License under the Capital Access Company Law
PDF
CACL 280.152
Consent to Service of Process
PDF
CACL 280.153
Notice of Officers, Directors, Partners, “Control” Persons, Managers, Members, Trustees and Employees of a Capital Access Company
PDF
CACL 280.200
Application for Requesting Approval to Surrender Capital Access Company Law License
PDF
CACL 280.250
Application for Approval to Acquire Control
PDF
Capital Access Company applications are only accepted by the Department of Financial Protection and Innovation’s Sacramento Office.
To view these files you MUST have Adobe Acrobat Reader or another PDF-reading compatible program installed on your system. Visit our help page for more information on installing Adobe Acrobat Reader. To find which is the proper office to file your application and or notice, please refer to
Commissioner’s Release 13-G
(PDF).
News & Info Links
Newsroom
Press Releases
Monthly Bulletins
Important Notices
How to reach us:
Department of Financial Protection and Innovation
Broker-Dealer and Investment Adviser Division
651 Bannon Street, Suite 300
Sacramento, CA 95811
Phone:
(916) 576-3638
Fax:
(916) 445-7193
Email:
[email protected]
Skip to Main Content
Capital for Business
The Capital Access Company Law facilitates California small businesses obtaining financing. Through registration and oversight under the law, the DFPI supports a healthy and trusted financial marketplace.
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 the Department of Financial Protection and Innovation. 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
.
Laws & Regulations
About the Law
Requirements for a Capital Access Company
Regulations & Legislation
Forms
Department of Financial Protection and Innovation 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
Format
ADM 510
Index of Fees, Fines and Penalties
CACL 280.151
Application for a License under the Capital Access Company Law
CACL 280.152
Consent to Service of Process
CACL 280.153
Notice of Officers, Directors, Partners, “Control” Persons, Managers, Members, Trustees and Employees of a Capital Access Company
CACL 280.200
Application for Requesting Approval to Surrender Capital Access Company Law License
CACL 280.250
Application for Approval to Acquire Control
Capital Access Company applications are only accepted by the Department of Financial Protection and Innovation’s Sacramento Office.
To view these files you MUST have Adobe Acrobat Reader or another PDF-reading compatible program installed on your system. Visit our help page for more information on installing Adobe Acrobat Reader. To find which is the proper office to file your application and or notice, please refer to
Commissioner’s Release 13-G
(PDF).
News & Info Links
Newsroom
Press Releases
Monthly Bulletins
Important Notices
How to reach us:
Department of Financial Protection and Innovation
Broker-Dealer and Investment Adviser Division
651 Bannon Street, Suite 300
Sacramento, CA 95811
Phone:
(916) 576-3638
Fax:
(916) 445-7193
Email:
[email protected]