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DBO Issues BDIA Report

The 2014 Budget Act requires the Department of Business Oversight to provide a report on its broker-dealer/investment adviser program to the the Legislature and the Department of Finance by January 10 of each year.  While not exactly scintillating reading, the report provides a wealth of information about the DBO's licensing and examination of broker-dealers and investment advisers.  The DBO's workload is summarized by the following table:

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For those concerned with enforcement, 10 of the 470 completed examinations of broker-dealers resulted in referrals to enforcement.  

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