Preparing for an Investment Adviser Regulatory Examination Key Consumer Links Consumer Alerts Consumer Advisories Search for DFPI Licensees Licensees and Industries Regulated by the DFPI Actions, Orders and Administrative Hearing Decisions File a complaint Submit a Public Records Request News & Info LinksNews Newsroom Press Releases Monthly Bulletins Important Notices Information DFPI Forms Resources Approved by Kue Lee 10/2019 Last updated: Oct 18, 2019 @ 1:04 pm