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NASAA President Calls on SEC to Withdraw Proposed Rule Lifting Ban on General Solicitation

October 12, 2012

NASAA President Calls on SEC to Withdraw Proposed Rule Lifting Ban on General Solicitation

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California Appeals Court Affirms Stringent Limits on Non-Compete Provisions

October 5, 2012

California Appeals Court Affirms Stringent Limits on Non-Compete Provisions

Industry Publications

Best Execution and the Investment Adviser: Policies and Procedures to Meet the Obligation

October 3, 2012

Best Execution and the Investment Adviser Policies and Procedures to Meet the Obligation

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CALIFORNIA ADOPTS THE REVISED UNIFORM LIMITED LIABILITY COMPANY ACT

September 28, 2012

CALIFORNIA ADOPTS THE REVISED UNIFORM LIMITED LIABILITY COMPANY ACT

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BD Corner: California Appeals Court Clears Path for Greater Expungement

September 21, 2012

BD Corner California Appeals Court Clears Path for Greater Expungement

Industry Publications

Trading Compliance

September 19, 2012

Trading Compliance

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