Search for: "Keith Paul Bishop"
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16 Sep 2016, 6:00 am
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]
30 Mar 2012, 5:00 am
Chowing Down On The JOBS Act And Ralston Purina by Keith Paul Bishop in California Corporate and Securities Law blog Anyone who has studied securities laws has undoubtedly heard of the Supreme Court’s decision in SEC v. [read post]
26 Jul 2013, 5:50 am
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]
4 Jan 2017, 7:51 am
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]
30 Oct 2015, 6:25 am
[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]
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 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]
28 Jan 2011, 5:00 am
” 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 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]
22 Feb 2017, 8:22 am
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]
13 Sep 2017, 7:01 am
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]
17 Oct 2022, 12:15 am
., Keith Paul Bishop & R. [read post]
23 Oct 2014, 5:00 am
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]
15 Nov 2022, 5:08 pm
Keith Paul Bishop explains in more detail: The complaint does not challenge the statutory amendment. [read post]
23 Mar 2016, 2:35 pm
” Paul D. [read post]
27 Oct 2010, 6:00 am
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]
3 Dec 2010, 5:00 am
SEC Relies On Questionable Legislative History In Proposed VC Definition by Keith Paul Bishop in California Corporate & Securities Law blog The SEC considered California’s definition of “venture capital companies” in 10 CCR § 260.204.9 but felt that California’s rule was inconsistent with Congressional intent because the California rule doesn’t limit investments to companies that are not publicly traded. [read post]
11 Dec 2013, 5:54 am
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]
6 Jun 2014, 5:00 am
by Keith Paul Bishop in California Corporate & Securities Law Lawyers should be treated differently from accountants because their roles and professional obligations are fundamentally different. [read post]
20 Sep 2013, 6:01 am
This Picture Is Worth 471 Words (More or Less) by Keith Paul Bishop in California Corporate & Securities Law Monday is the big day for the SEC’s “Bad Actor” and “General Solicitation” rule amendments. [read post]
