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    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