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Form 260.100.3 - Barclays Official California Code Of Regulations Form - Department Of Corporations Of State Of California

10 CA ADC § 260.100.3

10 CCR s 260.100.3

Cal. Admin. Code tit. 10, s 260.100.3

BARCLAYS OFFICIAL CALIFORNIA CODE OF REGULATIONS

TITLE 10. INVESTMENT

CHAPTER 3. COMMISSIONER OF CORPORATIONS

SUBCHAPTER 2. CORPORATE SECURITIES

ARTICLE 2. EXEMPTIONS FROM QUALIFICATION

This database is current through 12/07/07, Register 2007, No. 49

s 260.100.3. Request for Order of Exemption.

(a) Any issuer whose notes, drafts, bills of exchange or banker's acceptances would be exempt from the

qualification requirements of the Corporate Securities Law by virtue of subdivision (1) of Section

25100 but for the fact that such securities are to be offered and sold in amounts of less than $25,000 in

the aggregate to any one purchaser may request an order of exemption pursuant to subdivision (1) of

Section 25100 for such securities.

Generally, unless otherwise stated in the order, the order of exemption shall be for a one-year period

and may be renewed for additional periods upon submission and approval of subsequent requests for

order of exemption.

The order of exemption shall only be applicable to the securities described in the request for the order

when offered and sold in the manner described in the request for the order. The order of exemption will

exempt the securities that are the subject of the order from the provisions of Sections 25110, 25120 and

25130 of the Corporate Securities Law.

(b) A request for such order of exemption, or for renewal thereof, shall be submitted to the

Commissioner on the following form:

File No. __________ Date of Request __________

DEPARTMENT OF CORPORATIONS STATE OF CALIFORNIA

REQUEST FOR ORDER OF EXEMPTION PURSUANT TO SUBDIVISION (1) OF SECTION 25100

OF THE CORPORATE SECURITIES LAW OF 1968

1. ________________________________

Form 260.100.3 - Barclays Official California Code Of Regulations Form - Department Of Corporations Of State Of California