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Investment Adviser Corporate Securities Act

Allen Matkins

What's The Deal With New SEC Rule 3a5-4 And California?

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Section 3(a)(5) of the Securities Exchange Act of 1934 defines the term “dealer” to mean “any person engaged in the business of buying and selling securities . . . for such person’s own account through a broker or otherwise,”...more

Allen Matkins

Implied Private Right Of Action And The Corporate Securities Law of 1968

Allen Matkins on

Section 25235 of the California Corporations Code declares that is unlawful for an investment adviser to engage in a number of specified activities, including employing "any device, scheme, or artifice to defraud any client...more

Allen Matkins

California’s Other Investment Adviser Law

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California’s Corporate Securities Law of 1968 defines and provides for the comprehensive regulation of most, but not all, investment advisers.  Some investment advisers are subject to an entirely different law found in the...more

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