My friend, Bill Twomey, suggested a post describing how to get copies of securities and franchise filings made with the Department of Corporations. It’s actually pretty easy. The DOC maintains the California Electronic Access to Securities Information and Franchise Information (aka Cal-EASI) database. With Cal-EASI, you can search for filings from July 25, 2002 by company name, federal employment identification number or various DOC assigned numbers. I have a few suggestions and observations about Cal-EASI.
- If you’re looking for examples of filings by others, be sure to click “click here for more options”. This will allow you to search by package name, filing type, and/or code section. You don’t need to know the names of the filers. You can also search by date.
- Although notices of exemption under Section 25102(f) are generally required to be filed electronically (See 10 CCR § 260.102.14(a)(2)), other DOC filings are made in paper form. This means that the filings must be scanned before posting on Cal-EASI. Thus, it is usually several weeks or months before a paper filing is available on Cal-EASI.
- The number of results defaults to 25. If you want to see more, you need to click on “click here for more options” and expand the number of results.
- In addition to the actual notices and applications, the DOC posts comment letters and responses (including e-mails). Thus, Cal-EASI can be a useful resource if you are interested in the types of comments the DOC provides with respect to particular filings.