Opinions Under the Investment and Financial Services Laws
Opinions by Law/Subject
Broker-Dealer/Investment Adviser
- 11/1C – Ambac Assurance (PDF)
06-08-11 - 10/1C – Anvik Advisers LLC (PDF)
10-18-10 - 06/1C – Employer-Contribution VEBA Trust and Employee After Tax Contribution VEBA Trust For Pepperdine University (PDF)
06-02-06 - 01/1C – David Evans and Associates, Inc. (“DEA”)
12-06-01 - 99/2C – Mercury Asset Management Advisors (PDF)
11-22-99 - 99/1C – Stephen W. Boney (PDF)
11-22-99 - 98/1C – Westmont Venture Forum (PDF)
12-15-98 - 96/2C – IPONET/W. J. Gallegher & Company, Inc. (PDF)
10-17-96
California Financing Law
- OP 8206 – FlexWage (PDF)
02-11-22 - OP 7408 – Equipment Leasing and Finance Association (PDF)
04-27-16 - OP 7667 – Deferred payment products subject to CFL (PDF)
12-20-19
California Residential Mortgage Lenders Act
- 06/1 CRMLA – Universal American Mortgage Company, LLC (PDF)
05-18-06 - 02/2 CRMLA – Guaranty Bank and Trust Company (PDF)
11-14-02 - 02/1 CRMLA – First Mariner Bank (PDF)
02-14-02
Capital Access Company Law
- None at this time
Corporate Securities Law of 1968
- 11/1C – Ambac Assurance (PDF)
06-08-11 - 10/1C – Anvik Advisers LLC (PDF)
10-18-10 - 06/1C – Employer-Contribution VEBA Trust and Employee After Tax Contribution VEBA Trust For Pepperdine University (PDF)
06-02-06 - 01/1C – David Evans and Associates, Inc. (“DEA”) (PDF)
12-06-01 - 99/2C – Mercury Asset Management Advisors (PDF)
11-22-99 - 99/1C – Stephen W. Boney (PDF)
11-22-99 - 98/1C – Westmont Venture Forum (PDF)
12-15-98 - 96/2C – IPONET/W. J. Gallegher & Company, Inc. (PDF)
10-17-96
Franchise Investment Law
- 01/1F – Aca Las Tortas (PDF)
09-07-01
Payday Lenders (California Deferred Deposit Transaction Law)
- OP 8206 – FlexWage (PDF)
02-11-22