Search for: "Keith Paul Bishop" Results 161 - 180 of 239
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3 Jan 2020, 5:11 am by Walter Olson
’s Lloyds to curtail insurance availability in a way specifically targeted at the association [Stephen Gutowski thread] “The Misguided Quest to Limit Choice in Consumer Credit” [Diego Zuluaga] “The CFPB and Payday Lending Regulations” [Peter Van Doren last February; earlier on payday lending; Federalist Society Regulatory Transparency Project video on regulation-through-investigation of payday lenders with Jamie Fulmer, Chris Peterson, and Brian Knight] Federalist… [read post]
14 Aug 2012, 2:00 am by Keith Paul Bishop
Anthony Colbert, “Fairness Hearings,”  California Business Law Practitioner 44 (Spring 2010) Keith Paul Bishop, “California Fairness Hearings: A Low-Cost Alternative to Federal Registration in Acquisition Transactions,”  15 Insights 23 (Feb. 2001)  The Department of Corporation’s website provides this summary of fairness hearings from 2001 to 2007. [read post]
18 Feb 2011, 6:00 am by Kara OBrien
  This post addresses the less discussed budget of the CFPB which makes up 10% of the Federal Reserve budget  and may not be subject to direct Congressional control. 2) California Corporate & Securities Law Blog: Dodd-Frank Act to Increase State Oversight of Hedge Fund Advisers - In this video post, Keith Paul Bishop explains the basic changes in hedge fund oversight that are coming as a result of Dodd-Frank and details how both state and… [read post]
16 Sep 2011, 2:00 am by Kara OBrien
However, Keith Paul Bishop says whether shareholders have the power to amend bylaws unilaterally is a function of state law and details relevant provisions in California, Delaware and Nevada law. 4) Securities Law Prof Blog: Who Should Regulate Investment Advisers? [read post]
19 Apr 2010, 6:31 am by Broc Romanek
Placement Agent Regulation Makes Headline News On "The Mentor Blog," I've recently posted a few items from Keith Bishop of Allen Matkins about placement agent regulation. [read post]
4 Apr 2014, 5:00 am by Doug Cornelius
by Keith Paul Bishop in California Corporate and Securities Law The really important question is what is the legal effect, if any, of preambles to rules? [read post]
7 Nov 2018, 7:55 am by Doug Cornelius
 The request letter authored by Keith Paul Bishop takes us on a great stroll on the analysis of “what is a security? [read post]
4 Nov 2011, 2:00 am by Kara OBrien
 In this post, Keith Paul Bishop criticizes the ISS policy of commenting on compensation committee members and management say-on-pay proposals if the company’s prior say-on-pay proposal received significant opposition from votes cast. [read post]
17 Mar 2017, 6:00 am by Doug Cornelius
[More…] “And” Or “Or” – This Ninth Circuit Opinion Highlights The Difference by Keith Paul Bishop in California Corporate Securities Law “And” and “or” are classified as conjunctions. [read post]
15 Jun 2012, 5:00 am by Doug Cornelius
by Keith Paul Bishop in California Corporate & Securities Law Blog While it is tempting to think that the test is now 2,000 record holders, a more realistic assessment would be to consider the test unchanged unless the issuer is able to keep track of the accredited investor status of its shareholders. [read post]
20 Jun 2012, 5:00 am by Doug Cornelius
Sources: Commissioner Issues Proposed Revisions To Proposed Private Fund Adviser Exemption by Keith Paul Bishop in California Corporate and Securities Law Blog Proposed changes to Rule 260.204.9 [read post]
23 Mar 2012, 9:00 am by Doug Cornelius
by Keith Paul Bishop in California Corporate and Securities Law A California administrative decision illustrates how a simple dinner party can get suddenly veer from a purely social gathering to arguably a public offering of securities. [read post]
1 Aug 2014, 5:00 am by Doug Cornelius
The Franchise Tax Board’s Doing Business Legal Ruling – Ex Nihilo, Aliquid Fit by Keith Paul Bishop in California Corporate & Securities Law Gotcha! [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]
5 Jun 2015, 5:00 am by Doug Cornelius
[more…]   Why The WSJ Is Wrong About SEC Rulemaking On Claw backs by Keith Paul Bishop in California Corporate and Securities Law Section 954 of the Dodd-Frank Wall Street Reform and Consumer Protection Act requires the SEC to require the stock exchanges to prohibit the listing of securities of issuers that have not developed and implemented compensation claw-back policies. [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]
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]
17 Jun 2011, 2:00 am by Kara OBrien
Keith Paul Bishop details the rest of the trouble in this post. 4) The D&O Diary: Supreme Court Holds Fund Management Company Cannot Be Held Liable for Funds’ Statements – One of the biggest stories of the week was the Supreme Court’s 5-4 decision in Janus which significantly limited the pool of potential securities fraud defendants. [read post]
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]