Notice Required Under State Law

The following notice is required by state law under the Information Practices Act of 1977 (California Civil Code Section 1798.17).
The California Department of Business Oversight requests the information in the attached form to determine whether:

  • A license, qualification, registration, certificate or other authority should be accepted, granted, approved, denied, revoked, or limited in any way;
  • Business entities or individuals licensed or otherwise regulated by the Department of Business Oversight are conducting themselves in accordance with applicable laws; and/or
  • Laws administered by the Department of Business Oversight are being or have been violated and whether administrative action, civil action, or referral to a self-regulatory organization or other government agency is appropriate.


All information you provide is voluntary.  Failure to provide all or any part of the information requested may hinder the Department of Business Oversight from investigating your complaint.

We may share your personal information, as needed, with licensed business entities or individuals to facilitate resolution of your complaint.  We may also share your information with other government agencies or self-regulatory organizations.

The Commissioner is responsible for the performance of all duties, the exercise of all powers and jurisdiction, and the assumption and discharge of all responsibilities vested by law in the Department. The Commissioner has and may exercise all the powers necessary or convenient for the administration and enforcement of, among other laws, the laws described in Financial Code Section 300. The Commissioner may issue such rules and regulations consistent with law as he or she may deem necessary or advisable in executing the powers, duties, and responsibilities of the Department.

The information you provide is maintained by the Department of Business Oversight pursuant to one or more of the following laws:

  • Corporate Securities Law of 1968 (Corporations Code Section 25000, et seq.);
  • Capital Access Company Law (Corporations Code Section 28000, et seq.);
  • Bucket Shop Law (Corporations Code Section 29000, et seq.);
  • California Commodity Law of 1990 (Corporations Code Section 29500, et seq.);
  • Franchise Investment Law (Corporations Code Section 31000, et seq.);
  • Financial Institutions Law (Financial Code Section 99, et seq.);
  • Money Transmission Act (Financial Code Section 2000, et seq.);
  • Check Sellers, Bill Payers and Proraters Law (Financial Code Section 12000, et seq.);
  • California Credit Union Law (Financial Code Section 14000, et seq.);
  • California Deferred Deposit Transaction Law (Financial Code Section 23000, et seq.);
  • Escrow Law (Financial Code Section 17000, et seq.);
  • California Finance Lenders Law (Financial Code Section 22000, et seq.);
  • Securities Depository Law (Financial Code Section 30000, et seq.); and
  • California Residential Mortgage Lending Act (Financial Code Section 50000, et seq.).


You have a right to see your personal information.  The official responsible for maintaining information gathered by the Department of Business Oversight is:

Deputy Commissioner, Office of Management and Budget
Department of Business Oversight
1515 K Street, Suite 200
Sacramento, California 95814-4052
(916) 445-5541