California

  • 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:
1 Sansome St, Suite 600
San Francisco, CA 94104
1 Sansome St, Suite 600
San Francisco, CA 94104

 

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