Month: March 2023

Get Inside the Amendments to Insider Trading Safe Harbor Rules

By Robert R. Boeche II — posted in Securities Regulation & Compliance on Friday, March 17, 2023.

Securities Regulation

On December 14, 2022, the Securities and Exchange Commission adopted amendments[1] to Rule 10b5-1 of the Securities Exchange Act of…

I Live and Work in California. Am I Bound by the Non-solicitation and Non-compete Clause I Signed With My Employer?

By Mahdi M. Ibrahim — posted in Financial Advisor & Broker Disputes on Tuesday, March 14, 2023.

Employment Law Financial Advisors

Many employees have faced this situation. You have accepted a new position with a new employer. On your first day,…

California Insurance Licensees Must Now Include License Number on Emails

By Robert R. Boeche II — posted in Business, Employment & Legal Developments on Friday, March 10, 2023.

Starting on January 1, 2023, an update to the California Insurance Code took effect requiring certain insurance license holders to…