Broker-Dealer/Investment Adviser Renewals Due Dec. 12 A reminder that 2023 registration renewal statements and fees for the Broker Dealer/Investment Adviser (BDIA) program are due by Dec. 12, 2022. All registered firms may view...

From the Desk of the CMA’s General Counsel, Robert Finlay: Default interest is a hot button for borrowers, lenders and the courts. Most courts inherently do not like default interest because they see it as an improper...

DFPI Takes Actions On Crypto Asset Accounts and Businesses On Sept. 27, the DFPI announced that it issued desist and refrain orders against 11 different entities for violations of California securities laws. Each of...

DFPI’s Commissioner Hewlett Unanimously Confirmed by California State Senate The Department of Financial Protection and Innovation’s Commissioner Clothilde V. Hewlett appeared for her Senate Rules Committee confirmation hearing...

J. Elizabeth Smith Appointed as Deputy Commissioner of Communications Governor Newsom announced on July 27 the appointment of J. Elizabeth Smith as Deputy Commissioner of Communications for the DFPI. She will officially join the...