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Form DFPI-310.100.4 Negotiated Sales Exempt Under 31109.1 of the Corporations Codes - Summary Description - California
What Is Form DFPI-310.100.4?
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.
FAQ
Q: What is Form DFPI-310.100.4?
A: Form DFPI-310.100.4 is a form used to report negotiated sales that are exempt under 31109.1 of the Corporations Code in California.
Q: What is the purpose of Form DFPI-310.100.4?
A: The purpose of Form DFPI-310.100.4 is to provide a summary description of negotiated sales that are exempt under 31109.1 of the Corporations Code in California.
Q: What does 'negotiated sales' mean?
A: 'Negotiated sales' refers to the sale of securities that are not offered to the general public, but instead are sold through private negotiations between the issuer and the purchaser.
Q: What is the exemption under 31109.1 of the Corporations Code?
A: The exemption under 31109.1 of the Corporations Code exempts certain negotiated sales from certain qualification requirements and fees.
Q: Who needs to fill out Form DFPI-310.100.4?
A: Issuers who are engaged in negotiated sales that qualify for exemption under 31109.1 of the Corporations Code in California need to fill out this form.
Q: Are there any fees associated with filing Form DFPI-310.100.4?
A: No, there are no fees associated with filing Form DFPI-310.100.4.
Q: Is Form DFPI-310.100.4 only applicable in California?
A: Yes, Form DFPI-310.100.4 is only applicable for negotiated sales exempt under 31109.1 of the Corporations Code in California.
Q: What should be included in the summary description on Form DFPI-310.100.4?
A: The summary description on Form DFPI-310.100.4 should include information about the issuer, the types of securities being offered, and any material terms of the negotiated sales.
Q: When should Form DFPI-310.100.4 be filed?
A: Form DFPI-310.100.4 should be filed within 15 days after the completion of the negotiated sales exempt under 31109.1 of the Corporations Code.
Form Details:
- Released on November 1, 2020;
- 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 fillable version of Form DFPI-310.100.4 by clicking the link below or browse more documents and templates provided by the California Department of Financial Protection and Innovation.
