Department of Corporations Invites Comment on Adviser Rules

This morning, the California Department of Corporations issued this Invitation For Comments with respect to its investment adviser rules. The Department had proposed an “omnibus” revision to its investment adviser regulations way back in 2007. Unfortunately, events, including changes to the Securities and Exchange Commission’s investment adviser rules, have overtaken that proposal.

The Department is seeking comment on the following rules...

Please see full article below for more information.

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DISCLAIMER: Because of the generality of this update, the information provided herein may not be applicable in all situations and should not be acted upon without specific legal advice based on particular situations.

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