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Regulation and Compliance > State Regulation & Compliance

California

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

Webcasts

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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
Lawsuit Alleges Broad Conspiracy on GameStop Trading Restrictions

Podcasts

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

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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