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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

    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:

    Department of Business Oversight, Department of Corporations

    Investment Advisers And Broker-Dealers Face Scant Likelihood Of California Examinations

    The California Department of Business Oversight recently issued a report on its Broker-Dealer/Investment Adviser Program.  This report was required by the Budget Act of 2014. Although short, the report provides some interesting data...

    broker-dealer, Broker-Dealers, report, Uncategorized, Department of Business Oversight, Department of Corporations, examination, Investment Adviser, Investment Advisers

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