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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

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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ABOUT OUR AUTHOR

30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
Partner at Allen Matkins
(949) 353-6328
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JD Supra Readers Choice Top Author 2020

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