Nearly one year ago, the California Department of Business Oversight proposed regulations to implement the provisions of AB 667 (Wagner). The bill, which was enacted in 2015 and took effect last year, created a new exemption from the broker-dealer...
broker-dealer, Broker-Dealers, Seciton 11349.3, Section 11346.4, exemption, AB 667, Administrative Procedure, Administrative Procedure Act, Department of Business Oversight, finders, Office of Administrative Law
Title I of the Jumpstart Our Business Startups (aka JOBS) Act amended the Securities Act and the Exchange Act to provide some regulatory relief to issuers that qualify as an "emerging growth company". Recently, the Securities and Exchange...
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