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Department of Financial Protection and Innovation (DFPI) Broker-Dealer Investment Adviser

Allen Matkins

DFPI Posts Annual B-D/IA Report To The Legislature

Allen Matkins on

The California Department of Financial Protection & Innovation recently posted its 2023 Annual Report to the Legislature regarding its broker-dealer and investment adviser programs.  The report's title is a bit of a misnomer...more

Allen Matkins

DFPI BDIA Examinations Continue To Decline

Allen Matkins on

The California Department of Financial Protection & Innovation's Broker-Dealer/Investment Adviser (BDIA) program licenses and regulates investment advisers, investment adviser representatives, broker-dealers, and...more

Allen Matkins

New Laws For A New Year

Allen Matkins on

California's Department of Financial Protection & Innovation has complied this summary of new laws that affect or may otherwise be of interest to persons licensed by the department.  In general, these laws will take effect on...more

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