Investment Adviser Exemption

Invitation for Comments on Proposed Regulations under the Corporate Securities Law of 1968.

The Commissioner requests comments on proposed changes to regulations under the Corporate Securities Law of 1968. The proposed amendments would create a regulatory exemption for real estate brokers from investment adviser certification.
The DBO seeks comments from interested parties prior to initiating a rulemaking action. The Invitation for Comments notice and proposed text are available at this Regulation page.

The deadline to submit comments is March 8, 2015.

Please submit comments to regulations@dbo.ca.gov.