Form DBO-310.101 "Franchise Investment Law Notice of Exemption Under Section 31101, 31104, 31108, or 31109 Corporations Code" - California

What Is Form DBO-310.101?

This is a legal form that was released by the California Department of Financial Protection and Innovation - a government authority operating within California. As of today, no separate filing guidelines for the form are provided by the issuing department.

Form Details:

  • Released on September 1, 2015;
  • The latest edition provided by the California Department of Financial Protection and Innovation;
  • Easy to use and ready to print;
  • Quick to customize;
  • Compatible with most PDF-viewing applications;
  • Fill out the form in our online filing application.

Download a printable version of Form DBO-310.101 by clicking the link below or browse more documents and templates provided by the California Department of Financial Protection and Innovation.

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Download Form DBO-310.101 "Franchise Investment Law Notice of Exemption Under Section 31101, 31104, 31108, or 31109 Corporations Code" - California

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STATE OF CALIFORNIA –DEPARTMENT OF BUSINESS OVERSIGHT
FRANCHISE INVESTMENT LAW NOTICE OF EXEMPTION UNDER
DBO – 310.101 (Rev. 09-15)
SECTION 31101, 31104, 31108, OR 31109 CORPORATIONS CODE
Department Use Only ______________
Department of Business Oversight
Fee paid: $ _______________________
App or Notice No. _______________________
(Insert app or notice-number(s) of prior filings
with the Department, if any)
SEE INSTRUCTIONS
B.
Exemption for which this notice is filed (check one):
☐ Section 31101
☐ Section 31104
☐ Section 31108
☐ Section 31109
C.
Type of Filing (check one):
☐ Initial notice
$450 fee
☐ Consecutive subsequent notice
$150 fee
☐ Amendment
No fee
D.
Calendar year for which this notice is filed: ___________
* * * * * *
1.
(a)
Name of FILER: _______________________________________________________________
(b)
Principal business address of FILER: _______________________________________________
(c)
The above-named company is filing as a (check one):
☐ FRANCHISOR
☐ SUBFRANCHISOR
(d)
If FILER is a SUBFRANCHISOR, the name and principal business address of the
FRANCHISOR: ________________________________________________________________
______________________________________________________________________________
(e)
Name(s) under which FRANCHISOR does business: ___________________________________
______________________________________________________________________________
2.
Name and address of agent in California authorized to receive service of process:
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
3.
Franchise to be offered:
Name of franchise or subfranchise: _________________________________________________
Description of franchised business: _________________________________________________
Type of franchise (check one): ☐ Franchise ☐ Subfranchise
STATE OF CALIFORNIA –DEPARTMENT OF BUSINESS OVERSIGHT
FRANCHISE INVESTMENT LAW NOTICE OF EXEMPTION UNDER
DBO – 310.101 (Rev. 09-15)
SECTION 31101, 31104, 31108, OR 31109 CORPORATIONS CODE
Department Use Only ______________
Department of Business Oversight
Fee paid: $ _______________________
App or Notice No. _______________________
(Insert app or notice-number(s) of prior filings
with the Department, if any)
SEE INSTRUCTIONS
B.
Exemption for which this notice is filed (check one):
☐ Section 31101
☐ Section 31104
☐ Section 31108
☐ Section 31109
C.
Type of Filing (check one):
☐ Initial notice
$450 fee
☐ Consecutive subsequent notice
$150 fee
☐ Amendment
No fee
D.
Calendar year for which this notice is filed: ___________
* * * * * *
1.
(a)
Name of FILER: _______________________________________________________________
(b)
Principal business address of FILER: _______________________________________________
(c)
The above-named company is filing as a (check one):
☐ FRANCHISOR
☐ SUBFRANCHISOR
(d)
If FILER is a SUBFRANCHISOR, the name and principal business address of the
FRANCHISOR: ________________________________________________________________
______________________________________________________________________________
(e)
Name(s) under which FRANCHISOR does business: ___________________________________
______________________________________________________________________________
2.
Name and address of agent in California authorized to receive service of process:
____________________________________________________________________________________
____________________________________________________________________________________
____________________________________________________________________________________
3.
Franchise to be offered:
Name of franchise or subfranchise: _________________________________________________
Description of franchised business: _________________________________________________
Type of franchise (check one): ☐ Franchise ☐ Subfranchise
STATE OF CALIFORNIA –DEPARTMENT OF BUSINESS OVERSIGHT
FRANCHISE INVESTMENT LAW NOTICE OF EXEMPTION UNDER
DBO – 310.101 (Rev. 09-15)
SECTION 31101, 31104, 31108, OR 31109 CORPORATIONS CODE
4.
Name, title, telephone number and business address of individual to be contacted by the Department
regarding this notice:
Name: ______________________________________________________________________________
Title: _______________________________________________________________________________
Business Address: ____________________________________________________________________
Telephone: (___) _____________________________________________________________________
5.
Date of this notice: ______________________________
_________________________________
_____________________________
Name of Filer
Authorized Signature
_____________________________
Printed Name of Signatory
Page 2 of 4
STATE OF CALIFORNIA –DEPARTMENT OF BUSINESS OVERSIGHT
FRANCHISE INVESTMENT LAW NOTICE OF EXEMPTION UNDER
DBO – 310.101 (Rev. 09-15)
SECTION 31101, 31104, 31108, OR 31109 CORPORATIONS CODE
(b) The following instructions apply to the form and information required by Subsection (a):
INSTRUCTIONS FOR COMPLETING AND FILING
NOTICE OF EXEMPTION
(Sectional references are to the California Corporations Code)
1.
General Instructions.
(a) The notice required of persons claiming the exemption under Section 31101, 31104, 31108, or 31109
may be filed at any time after July 1 of the year preceding the calendar year for which the notice is required to be
filed. For example, the notice for the calendar year 2006 may be filed at any time between July 1, 2005 and
December 31, 2005. A notice may be filed in the same year the exemption is claimed. However, the effective
date of the notice will be the date the completed notice is filed. For example, if a completed notice is filed March
21, 2006, it will be effective March 21, 2006 through December 31, 2006. The subsequent notice for 2007 should
be filed prior to December 31, 2006 (by the end of the year in which the current notice is effective). A separate
notice must be filed for each calendar year, together with the fee specified in Section 31500(f), prior to any offer
or sale of a franchise in this state (other than a "material modification" [Section 31018(c)], for the exemption
under Section 31101, 31104, 31108 or 31109). The notice for each claimed exemption must be filed only once for
each calendar year, even if franchises are sold to one or more franchisees under the exemption claimed for that
calendar year.
(b) If the notice is filed by a subfranchisor (Section 31009), the notice is applicable only to offers and sales
by the subfranchisor filing the notice.
(c) No documents need be filed with the notice.
(d) If the notice form cannot be obtained from the Department, it may be typed on a single sheet of 8 1/2
inch by 11 inch white bond paper, using one side only. If the space in the form is insufficient for one or more
items, attach a single continuation sheet, designating the continued information by item number.
(e) Amendments. An amendment should be filed only for material changes in the information contained in
the notice, such as a change in the name under which the franchisor does business or an addition to Item 3 (e.g.,
new type of franchise).
2. Instructions for Completing Form.
Heading: (A) Department file number. Insert the file number(s) assigned to the filing franchisor or
subfranchisor in any prior registration filings with the Department under the Franchise Investment Law.
(B) Exemption used. Check the box to indicate the exemption to be used by the Filer.
(C) Type of filing. Check the box as appropriate to indicate whether the filing is an initial filing (including
a non-consecutive subsequent notice), consecutive subsequent notice, or an amendment to a notice previously
filed for the calendar year specified in the notice.
Page 3 of 4
STATE OF CALIFORNIA –DEPARTMENT OF BUSINESS OVERSIGHT
FRANCHISE INVESTMENT LAW NOTICE OF EXEMPTION UNDER
DBO – 310.101 (Rev. 09-15)
SECTION 31101, 31104, 31108, OR 31109 CORPORATIONS CODE
(D) Calendar year. Indicate the calendar year for which the notice is filed.
Item 1. The information provided in parts (a), (b) and (c) relate to the company filing the notice (i.e., the
"filer") which may be the franchisor or a subfranchisor. If a subfranchisor files the notice, part (d) must be
completed to give the name and business address of the franchisor. Part (e) must state the names associated with
the franchisor's business.
Item 2. If the notice is filed by a subfranchisor, the agent(s) for service of process of both the franchisor
and subfranchisor must be furnished.
Item 3. Specify the name or title given the franchise agreement. Briefly describe the franchised business
(e.g. "restaurant," "retail sales of bicycles"). Check the box to specify whether the franchise is one to conduct the
franchised business (Corp. Code Section 31010) or a subfranchise (Corp. Code Section 31008.5).
Item 4. Give the name, title, business address and telephone number of the individual the Department may
contact in connection with the notice.
Item 5. The notice shall be signed on behalf of the filing franchisor or subfranchisor by a person
authorized to do so.
3. Filing the Notice.
The notice may be filed, and the fee may be paid, by mail or delivery to any office of the Department of
Business Oversight. The completed notice is effective when received with the fee (Section 31101(d), 31108(f), or
31109(e)).
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