Search for: "Keith Paul Bishop" Results 161 - 180 of 216
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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]
16 Aug 2011, 5:00 am by Doug Cornelius
Sources: SEC Argues That Sales of Hotel Rooms Are Sales of a Security by Keith Paul Bishop in California Corporate and Securities Law Salameh v. [read post]
10 Dec 2010, 5:00 am by Doug Cornelius
A Brief Rumination On Metaphysics, Trusts and Accredited Investors by Keith Paul Bishop in California Corporate & Securities Law blog This is what I understand the Staff to be saying. [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]
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]
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]
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]
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]
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]
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]
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]
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]
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]
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]
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]
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]
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]
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]