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FAQs
What is a "publicly traded corporation"?
A publicly traded corporation is a California or foreign corporation, as defined in
Corporations Code section 162 or 171, respectively, that is an issuer as defined in Section 3 of the
Securities Exchange Act of 1934, as amended (§78C of Title 15 of the United States Code), and has at least one
class of securities listed or admitted for trading on a national securities exchange, on the National or
Small-Cap Markets of the NASDAQ Stock Market, on the OTC-Bulletin Board, or on the electronic service
operated by Pink Sheets, LLC. (California Corporations Code sections 1502.1 and 2117.1.)
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Who is required to file a Corporate Disclosure Statement?
As of September 28, 2004, all "publicly traded corporations" are required to file a Corporate Disclosure Statement (Form SI-PT) annually, within 150 days after
the end of the corporation's fiscal year.
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What type of search logic does the Publicly Traded Disclosure Search use?
When searching by entity name, a character string search is performed in any part of the name.
When searching by individual name, a character string search is performed at the beginning of the name.
Results will include only those records containing all of the search criteria selected. Including a word that
is not part of the name may result in no matching record. Please refer to the Help
section for more information.
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How often is the information on the Publicly Traded Disclosure Search updated?
The information is updated on a daily basis.
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Is there a charge for this search?
No. There is no fee associated with the Publicly Traded Disclosure Search.
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How can I narrow my search results?
Entering more data and/or completing additional search fields will provide a more specific list of results. Your search can be narrowed by
entering an exact phrase (e.g., enter "Software Dynamics" rather than just "Software") or
by completing additional search fields.
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Should I enter data in upper or lowercase?
The search is not case sensitive. The data can be entered in either upper or lower case.
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I can't find the corporation I'm interested in. What can I do?
Return to the search screen by selecting the "Back" button on your browser or the
New Search button. Make sure the information you are searching on has been entered
accurately. You may wish to broaden your search by entering only part of the name you are looking for or by
completing fewer search fields.
Note: The Publicly Traded Disclosure Search is applicable only to California and foreign qualified corporations that have
filed a Corporate Disclosure Statement (Form SI-PT). To search for any corporation
registered with the Secretary of State, please use the California
Business Search.
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The results page displays a variety of information. What does all the information mean?
Please refer to the Help section for information regarding search
options, search results and definitions of terms used in the search.
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How do I order copies of a Corporate Disclosure Statement?
Copies of a Corporate Disclosure Statement (Form SI-PT) filed with the Secretary of State can be requested either by mail or in
person in our Sacramento office. Fees and instructions for requesting copies of statements are included in
our Business Entities Records Order Form.
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How does a corporation change the information contained in the last Corporate Disclosure Statement filed
with the Secretary of State?
Changes to the information contained in the last Corporate Disclosure Statement can be made at
any time by filing a complete Corporate Disclosure Statement (Form SI-PT).
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What is the fee for filing a Corporate Disclosure Statement?
There is no fee for filing a Corporate Disclosure Statement (Form SI-PT).
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Can I file the Corporate Disclosure Statement online?
No. Corporate Disclosure Statements are not eligible for online filing at this time. However, we anticipate this service being available in the near future.
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Is the Corporate Disclosure Statement form available on the Secretary of State's website?
Yes. The Corporate Disclosure Statement form (Form SI-PT) can be viewed,
filled in and printed from your computer.
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I am unable to download the Corporate Disclosure Statement form and/or the Business Entities Records Order Form.
What do I do?
Please refer to Technical Assistance for
suggestions that may assist you in resolving the problem.
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I think a corporation has defrauded me. How can the Secretary of State help me?
The Secretary of State does not have the authority to investigate or prosecute corporate fraud.
However, we have created a list of Fraud
Resources that may be of assistance to you. You may also wish to consult private legal
counsel or your local District Attorney's Office.
If you are a victim of corporate fraud, and have a final judgment, arbitration award, or
criminal restitution order based on corporate fraud, misrepresentation, or deceit, made with intent to
defraud, you may be eligible to apply for payment from the Victims of Corporate Fraud Compensation Fund (VCFCF).
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How do I file a complaint against a publicly traded corporation?
The Secretary of State has no regulatory
authority over a corporation's practices. For assistance
in determining where to file a complaint and how to
proceed, you may wish to contact the Securities
and Exchange Commission, the Department
of Consumer Affairs, your local District Attorney's
Office or consult private legal counsel.
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How do I find out the status of a corporation? What other information relating to corporations is available
from the Secretary of State?
Online access to certain additional corporate information is available through the California Business Search . The abstract of information includes the
complete name of the corporation, corporate number, date of incorporation, qualification or conversion, status,
jurisdiction (place of domicile), mailing address, and name and address of the agent for service of
process.
For information about certification of corporate records or for additional corporate
information, please refer to Corporate
Records.
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What is the Secretary of State's mailing address?
Please refer to Contact Information for office
locations, addresses and phone numbers.
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Who do I contact if I need more information about the Publicly Traded Disclosure Search?
Please refer to the Help section for information regarding search
options, search results and definitions of terms used in the search or for additional information regarding
the Publicly Traded Disclosure Search. If you need further information, please contact the Business Programs
Division at (916) 651-9000.
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