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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]
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]
2 Sep 2016, 5:06 am by Doug Cornelius
[More…] Why You May Want To Reconsider Promising Confidentiality To Whistleblowers by Keith Paul Bishop in California Corporate & Securities Law The scope of the promise may be unclear. [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 Jun 2016, 4:29 pm by Steve Bainbridge
Keith Paul Bishop writes: In a posting yesterday, Professor Stephen Bainbridge poses the question “When an acquirer spots red flags: Should Microsoft’s board beware? [read post]
31 Mar 2016, 12:16 pm by Steve Bainbridge
Keith Paul Bishop reports on yet another attack on Citizens United by the California Democrat assembly caucus: Earlier this month, Senators Benjamin Allen and Mark Leno decided to take another run at... [[ This is a content summary only. [read post]
18 Mar 2016, 8:00 am by Doug Cornelius
by Keith Paul Bishop in California Corporate & Securities Law blog Even though the federal statute is named the Investment Advisers Act of 1940, persons regulated by that act often refer to themselves as “advisors” and not “advisers”. [read post]
11 Feb 2016, 12:08 pm by Steve Bainbridge
Case in point from Keith Paul Bishop: In a recent blog post, Delaware lawyer Francis Pileggi discusses a recent... [[ This is a content summary only. [read post]
10 Feb 2016, 6:22 am by Doug Cornelius
As Keith Paul Bishop points out on his blog, there are dozens of candidates on the state primary ballots with over forty on California’s List of Generally Recognized Presidential Candidates for California Primary. [read post]
29 Jan 2016, 6:00 am by Doug Cornelius
The Answer May Have Surprising Consequences by Keith Paul Bishop in California Corporate & Securities Law In my experience, companies most often hold board and shareholder meetings at or near their principal executive offices . [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 Nov 2015, 12:09 pm by Steve Bainbridge
Keith Paul Bishop writes: ISS fails to mention contrary studies that reach the opposite conclusion. [read post]
8 Nov 2015, 7:06 pm by Steve Bainbridge
Keith Paul Bishop discusses the "tenuous link between the case and the recently released movie Bridge of Spies directed by Steven Spielberg. [read post]
4 Nov 2015, 11:25 am by Steve Bainbridge
Keith Paul Bishop reports on ISS's proposed new rule on maximum board memberships: The following table summarizes ISS’ current and proposed policy with respect to recommending votes against directors... [[ This is a content summary only. [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]