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Is The CSL (Over)Due For A Makeover?

One of the first registered public offerings that I worked on was for a small technology company.  The lead underwriter was a regional investment banking firm.  Although he had considerably more experience in securities law than me, the...

California Securities Laws, Department of Business Oversight, Department of Corporations

What's In A Name?  A Lot Of Pain

For most of the 20th Century, the state agency charged with the administration and enforcement of California's securities laws was known as the Department of Corporations.  In 2012, then Governor Jerry Brown proposed a plan of reorganization, which...

Department of Business Oversight

Business Identity Theft On The Web

Nine years ago, I wrote about business identity theft.  The problem has not gone away.  Earlier this week, California's Department of Business Oversight issued a warning about company that is impersonating itself as a licensed lender in order to...

Department of Business Oversight

What Would Willie Sutton Say?

In August 2019, I never would have imagined that a banking regulator would be required customers to wear masks.  In today's changed world, banking regulators are doing just that.  The California Department of Business Oversight in its August monthly...

Banking and Financial Institutions, Department of Business Oversight

DBO Warns That It Will Be Monitoring Face Covering Compliance

"How many then should cover that stand bare!"

California's Department of Business Oversight announced that it "will be monitoring compliance with the face-covering guidance, which will remain in effect until further notice."  The DBO's announcement...

Department of Business Oversight

Despite "Massive Job Losses and Revenue Shortfalls", Governor Continues To Propose Large Increase In DBO Staffing

As required by the California Constitution, Governor Newsom proposed a budget for the state's 2020/2021 fiscal year in January.  Cal. Const. Art. IV, § 12.  As noted in this post, the Governor had big plans for the Department of Business Oversight,...

Department of Business Oversight

Are Computers Biased And What Is The DBO Going To Do About It?

Humans decisions are affected by all manner of biases.  Many of these biases are quirks of the human mind.  A common bias, for example, is to assign more weight to recent data than to older data.  Another involves seeing patterns from random...

Department of Business Oversight

DBO Urges Securities/Franchise Filers To Use DocQNet

In the plethora of notifications concerning the Covid-19 (coronavirus) issued various government agencies, this one from the California Department of Business Oversight could easily be overlooked.  The gist of the DBO's message is for securities and...

Department of Business Oversight

DBO Expansion Plans To Be Aired On April Fools' Day

California's Governor Gavin Newsom has big plans for the Department of Business Oversight.  These plans were described in his proposed 2020-2021 budget as follows:

"To better reflect its current and future role, DBO’s name will be changed to the...

Department of Business Oversight, Department of Corporations

Will The DBO's New Name Confuse Investors?

This January post discussed Governor Newsom's proposal to rename the Department of Business Oversight.  While I am no fan of the current moniker, I do not favor the Governor's new name - Department of Financial Protection and Innovation. 

The name...

Department of Business Oversight

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ABOUT OUR AUTHOR

30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
Partner at Allen Matkins
(949) 353-6328
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