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Real Estate Brokers › Licensing Rules › Department of Business Oversight

Allen Matkins

Does George Babbitt Need a Broker-Dealer License (Part IV)

Allen Matkins on

Today's post picks up where I left of more than seven years ago with the question of whether a licensed real estate broker must be licensed as a broker-dealer under the California Corporate Securities Law of 1968. See Does...more

Allen Matkins

Commissioner Ponders Whether To Exempt Real Estate Brokers From Investment Adviser Registration

Allen Matkins on

Last week, the Commissioner of Business Oversight issued an invitation for comment on whether to exempt real estate brokers from the investment adviser certification requirement under the Corporate Securities Law of 1968....more

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