Filing Notices of Exemption Online In California

Allen Matkins
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Occasionally, I’m asked whether it is possible to file a specific notice electronically using the California Department of Business Oversight’s online portal.  To use this service, you must register online.  There are two registration options: Option A is for quick notice filings and Option B is for applying for a license, registering a franchise or applying for a securities permit.  As of the date of this post, the following notices may be filed using the portal:

25100(k) – Request for Designation
25100(l) – Note, Draft, Bill of Exchange or Banker’s Acceptance
25102(f) or 260.103 – Limited Offer Exemption Notice (LOEN)
25102(h) or 260.103 – Notice Of Issuance
25102(n) – Qualified Purchasers Notice – 1st Notice
25102(n) – Qualified Purchasers Notice – 2nd Notice
25102(o) – Employee Plan Exemption Notice (EPEN)
25103(h) – Notice of Exchange Transaction
260.105.33 – Senior to Listed Securities
260.105.34 – Senior to Rated Securities
25102.1(d) – Rule 506(b)
25102.1(d) – Rule 506(c)
25102.1(a) – Qualified Purchasers 25102.1(a)

Licensees required by the Commissioner to maintain an email address pursuant to the Commissioner’s order must also use the online portal to make any updates to their designated email addresses.  See DBO to Licensees: “Thou Shalt Have A Dedicated Electronic Mailbox And Read Your Email Daily”.

DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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