Search for: "Keith Paul Bishop" Results 181 - 200 of 242
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9 Mar 2015, 7:38 am by Doug Cornelius
by Keith Paul Bishop in California Corporate & Securities Law The SEC Will Be Your Employment Law Agency, Too by David Smyth in Cady Bar the Door In a twist, ex-Cabot Lodge compliance officer recants, says he was wrong by Bruce Kelly in Investment News [read post]
14 Jan 2019, 5:00 am by John Jascob
This could lead to an approximately 22 percent increase of female directorships nationwide.However, ISS’s conclusions were met with skepticism by Allen Matkins partner Keith Paul Bishop, who noted that the study authors did not explain how they determined director gender or clarify whether companies excluded by the law were included in the statistics.Potential legal snags. [read post]
23 Oct 2014, 5:00 am by Doug Cornelius
Changes in Securities Enforcement Thanks to Dodd-Frank by Bruce Carton in Securities Docket Stillwell versus the SEC complaint (.pdf) Peixoto complaint SEC Administrative Case Rules Likely Out Of Date, GC Says SEC ALJs Face Free Enterprise Challenge by Keith Paul Bishop in California Corporate and Securities Law Why Is It Called a “Wells Notice”? [read post]
24 Feb 2014, 5:49 am by Doug Cornelius
Dec. 19, 2013) Case A138136 Court Rules Private Fund Data Are Not Public Records by Keith Paul Bishop in California Corporate and Securities Law blog [read post]
28 Jan 2011, 5:00 am by Doug Cornelius
” California Commissioner Expresses Concern About Proposed Venture Capital Fund Definition by Keith Paul Bishop in California Corporate & Securities Law blog As I wrote in this early posting, California is ground zero for the venture capital industry. [read post]
19 Aug 2016, 6:00 am by Doug Cornelius
by Keith Paul Bishop in California Corporate & Securities Law Unless someone successfully challenges the SEC’s enforcement position, it is likely that companies will eliminate waivers from their severance agreements. [read post]
15 Nov 2013, 5:58 am by Doug Cornelius
Just Who Is A Promoter And Why You May Want To Know by Keith Paul Bishop in California Corporate & Securities Law The SEC’s adoption of its so-called “bad actor” rules makes knowing the meaning of “promoter” important for issuers relying on Rule 506 under the Securities Act. [read post]
7 Jan 2013, 5:00 am
Compliance Related Blogs I Read The Big Picture by Matt Kelly, Editor-in-Chief of Compliance Week Business Ethics Blog by Chris MacDonald California Corporate & Securities Law by Keith Paul Bishop of Allen Matkins Conglomerate Corporate Compliance Insights Corporate Counsel.net Blog – The Practical Corporate & Securities Law Blog from Broc Romanek and Dave Lynn Corruption Crime & Compliance from Michael Volkov of LeClair Ryan D&O Diary by Kevin M. [read post]
27 Jan 2017, 6:00 am by Doug Cornelius
by Keith Paul Bishop in California Corporate and Securities Law I have previously argued that the SEC and other independent agencies are the platypodes of the federal government. [read post]
16 Sep 2016, 6:00 am by Doug Cornelius
by Keith Paul Bishop in California Corporate & Securities Law Earlier this week, the Securities and Exchange Commission announced that a self-styled “stock trading whiz kid” and his Los Angeles, California company have agreed to pay $1.5 million to settle a complaintfor violations of Rule 10b-5. [read post]
4 Jan 2017, 7:51 am by Doug Cornelius
SEC 10th Circuit Holds SEC ALJs Are Holding Office Unconstitutionally by Keith Paul Bishop in California Corporate & Securities Law SEC’s ALJs: Going to SCOTUS Again? [read post]
7 Jan 2013, 5:00 am by Doug Cornelius
Compliance Related Blogs I Read The Big Picture by Matt Kelly, Editor-in-Chief of Compliance Week Business Ethics Blog by Chris MacDonald California Corporate & Securities Law by Keith Paul Bishop of Allen Matkins Conglomerate Corporate Compliance Insights Corporate Counsel.net Blog – The Practical Corporate & Securities Law Blog from Broc Romanek and Dave Lynn Corruption Crime & Compliance from Michael Volkov of LeClair Ryan D&O Diary by Kevin M. [read post]
26 Jul 2013, 5:50 am by Doug Cornelius
Advertising Securities As Safe – A “No, No” In California by Keith Paul Bishop in California Corporate & Securities Law The Commissioner has adopted Rule 260.302 setting forth the general standard for advertisements. [read post]
22 Feb 2017, 8:22 am by Doug Cornelius
Feb. 16, 2017) Silver Hills Doesn’t Mute Howey by Keith Paul Bishop in California Corporate & Securities Law Is a Note a Security? [read post]
5 Oct 2012, 2:00 am by Kara OBrien
Since we are still awaiting a final rule on the matter, Keith Paul Bishop delves into whether the SEC can still give effect to Congressional intention by adopting rule amendments with retroactive effect. 3) Securities Litigation and Regulatory Enforcement Blog - The Tip Is In the Mail: Court Tries to Make Sense of Dodd-Frank’s Whistleblower and Retaliation Provisions and Asks Whether It’s Enough Just to Send a Letter - In this post,… [read post]
1 Jun 2012, 5:06 am by Doug Cornelius
Reasonable Efforts May Be A Promisor’s Best Efforts by Keith Paul Bishop in California Corporate & Securities Law Does a “best efforts” clause require a party to subordinate its interests to the other party or undertake extraordinary efforts to fulfill its obligations? [read post]
21 Jul 2017, 6:30 am by Doug Cornelius
The Case Of The Wholly Owned, But Not Totally Held, Subsidiary That May Or May Not Be 100% Owned by Keith Paul Bishop in California Corporate & Securities Law When someone says that a subsidiary is “wholly owned”, I believe that the common understanding is that the parent company owns all of the issued and outstanding equity of the subsidiary. [read post]
15 Jun 2012, 2:00 am by Kara OBrien
According to Keith Paul Bishop this could be a real problem because the status of investors may change or the securities may be transferred to different investors. [read post]
13 Sep 2017, 7:01 am by Doug Cornelius
Lakhani in the Harvard Business Review Overstock Begins Trading Its Shares Via the Bitcoin Blockchain by Cade Metz in Wired Companies Can Put Shareholders on a Blockchain Starting Today by Jeff John Roberts in Fortune Nevada Precedes Delaware In Blockchain Legislation by Keith Paul Bishop Day 7 of One Month of Innovation in Compliance – Blockchain will Transform Compliance How Blockchain Will Change Organizations by Don Tapscott and Alex Tapscott Delaware… [read post]
4 Oct 2013, 6:32 am by Doug Cornelius
by Keith Paul Bishop in California Corporate & Securities Law The Jackson Five had it wrong. [read post]