Search for: "Keith Paul Bishop" Results 181 - 200 of 217
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9 Sep 2016, 6:00 am by Doug Cornelius
by Keith Paul Bishop in California Corporate & Securities Law The SEC’s total payout is impressive, but the number of payees is extremely small. [read post]
7 Feb 2014, 5:48 am by Doug Cornelius
SEC No-Action Letter Addresses “M&A Brokers” by Keith Paul Bishop in California Corporate & Securities Law blog Martin A. [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]
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]
18 Dec 2015, 5:00 am by Doug Cornelius
[More…] Section 12(g)(1)(A) – How The SEC Is Putting Words In Congress’ Mouth by Keith Paul Bishop That, however, is not what Section 12(g)(1)(A) literally states. [read post]
30 Oct 2015, 6:25 am by Doug Cornelius
  [More…] California’s Secured Promissory Note Exemption by Keith Paul Bishop in California Corporate & Securities Law The line between real property transactions and securities transactions is not always clear. [read post]
15 Oct 2010, 5:00 am by Doug Cornelius
SEC’s Proposed “Family Office” Rule and Rule 260.204.9 by Keith Paul Bishop in California Corporate & Securities Law blog In The Snows of Kilimanjaro, Ernest Hemingway wrote: “‘The very rich are different from you and me.’ [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]
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]
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]
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]
23 Aug 2011, 12:46 pm by Stefan Passantino
For example, just a few days after the Committee’s petition was submitted, Keith Paul Bishop – the former California Commissioner of Corporations and an adjunct professor at the Chapman University School of Law – filed a response letter with the SEC refuting the professors’ contentions and requesting that no such rulemaking project be initiated by the Commission.  [read post]
27 Oct 2010, 6:00 am by Doug Cornelius
California Corporate & Securities Law By Keith Bishop Keith Bishop, a partner with the California law firm Allen Matkins, covers California securities laws and regulations, corporate governance, the California Department of Corporations, the California Public Employees’ Retirement System, the California Secretary of State, pending legislation and rule making, quirky California laws, and other topics. [read post]
5 May 2017, 6:00 am by Doug Cornelius
by Keith Paul Bishop The SEC gathers the data from Form PFs. [read post]
14 Mar 2014, 5:00 am by Doug Cornelius
Another Modest Proposal – Risk Factors by Keith Paul Bishop in California Corporate & Securities Law blog Here’s my solution. [read post]
31 May 2011, 4:59 am by Doug Cornelius
Sources: SEC Proposes Rule to Disqualify Felons and Bad Actors From Securities Offerings – SEC Press Release SEC Release 33-9211 Disqualification of Felons and Other “Bad Actors” from Rule 506 Offerings (.pdf) View Comments SEC Proposes John Wilkes Booth Rules by Keith Paul Bishop in California Corporate & Securities Law The SEC Proposes Rules for Disqualification of Felons and Other Bad Actors from Rule 506 Offerings in 100 F Street [read post]
11 Dec 2013, 5:54 am by Doug Cornelius
References: New Q&As from the SEC on Rule 506(d) New Rule 506 C&DI’s Require Some Explaining by Keith Paul Bishop in California Corporate & Securities Law New SEC Guidance on “Bad Actor” Disqualifications from Rule 506 Offerings by Yelena Barychev in Securities News Watch The SEC’s Latest C&DIs Related to Bad Actor Disqualification by Vanessa Schoenthaler in 100 F Street Rule 506(d) Release 33-9414 (.pdf) [read post]
21 Dec 2012, 5:00 am by Doug Cornelius
by Keith Paul Bishop in California Corporate & Securities Law blog Under SB 1058, a person who obtains a final judgment against a corporation based upon the corporation’s fraud, misrepresentation, or deceit, made with intent to defraud, may after “diligent collection efforts” submit a claim to the Secretary of State for payment from the fund. [read post]