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California Financial Regulation

Get the latest news and insights on California's financial regulations, enforcement actions and litigation.

Webcasts

Attend free webcasts to get the info you need to solve business challenges!

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California Supreme Court Applies Life Policy Termination Rules to Pre-2013 Policies
Health Care Group to Pay $2M for Misleading Clients
Jefferson National to Pay $150K Penalty Over Annuity Sales
Dually Registered Firm Must Pay SEC $1.2M Over 12b-1 Fees
DOL Withdrawal of Independent Contractor Rule Threatens Indie Advisor Business Model: FSI

Podcasts

Listen to free podcasts to get the info you need to solve business challenges!

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Lawsuit Alleges Broad Conspiracy on GameStop Trading Restrictions
How Ace Stock Picker John Buckingham Reacted to GameStop Squeeze
Kamala Harris' Former Policy Chief Gives Peek Into New White House Priorities
How California's Privacy Act Impacts Advisors