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Does The Sheriff Need A Permit To Sell Shares?

Last week, I wrote about a recent Court of Appeal decision allowing for the possibility that a sale of shares at a sheriff's sale could amount to conversion.  Duke v. Superior Court, 2017 Cal. App. LEXIS 1116.  A fundamental principle underlying the...

California Securities Laws, nonissuer transaction, reeve, Shire, Magna Carta, Section 25011, Section 25104(f), Section 25130, sheriff's sale

Did The Legislature Grant A License To Lie To The Cannabis Industry?

An entire division of California's Business & Professions Code is devoted to a single plant genus - Cannabis.  The official name of the division is the "Medicinal and Adult-Use Cannabis Regulation and Safety Act" aka the MAUCRSA.  Bus. & Prof. Code...

Bus. & Prof. Code, California Securities Laws, cannabis cooperative, Corporate Securities Law, association, Business and Professions, exemption, marijuana, MAUCRSA, Section 26000, Section 26228

Of Touting, Tweets and Advertising

Last month, the Securities and Exchange Commission issued this public statement warning about touting of securities by celebrities:

Celebrities and others are using social media networks to encourage the public to purchase stocks and other...

advertising, California Securities Laws, compensation, Section 25300, securities, Rule 260.302, SEC, Section 17(b), Section 25002, stocks, touting, tweeting

California Securities Law Claims Founder On Personal Jurisdiction

Establishing personal jurisdiction may seem mundane, but without it a plaintiff may soon find itself out of court, as did the plaintiff in Marshall v. Galvanoni, 2017 U.S. Dist. LEXIS 185530.

In Marshall, the plaintiff sued a half dozen companies...

California Securities Laws, Marshall v. Galvanoni, personal jurisdiction, scienter, Judge Gonzalo P. Curiel, Judge Kimberly J. Mueller, Section 25401

Judge Rules Internal Affairs Doctrine Governs California Insider Trading Statute

As I have mentioned on numerous occasions, California has its own insider trading statute - California Corporations Code Section 25402.  The statute is included in the California Corporate Securities Law of 1968.  In general, the jurisdiction of...

California Securities Laws, Friese v. Superior Court, derivative, In re Sagent Technology, Insider Trading, internal affairs doctrine, Jon Tigar, Section 2116, Section 25402, Wells Fargo

Corp Fin's New Rule 701 C&DI And California's Compensation Plan Exemption

Yesterday, Broc Romanek reported that Corp Fin has published a new C&DI addressing the permissibility of electronic delivery of disclosures under Rule 701(e).  Readers will recall that Rule 701 is an exemption from the registration requirements of...

California Securities Laws, safeguards, exemption, Commissioner of Business Oversight, compensatory plan, Rule 260.140.46, Rule 701(e), Section 25102(o)

What's The Plural Of Condominium?

Wednesday's post was entitled "Condominiums And The California Corporate Securities Law".  Today's post concerns whether I used the proper plural form of "condominium".

"Condominium" is derived from the Latin words, cum and dominium.  Cum means with...

California Securities Laws, Markley v. City Council, second declension, Uncategorized, condominium, Hornstein v. Berry

Promoters And California's Limited Offering Exemption

I was admitted to the bar the same year that the legislature completed its parturition of a new limited offering exemption under the Corporate Securities Law of 1968 - California Corporations Code Section 25102(f).  AB 1518, Cal. Stats. 1981, ch....

California Securities Laws, Rule 260.012.12, Rule 260.102.13, Section 25102(f), issuer transaction, limited offering exemption, promoter, section 25110

Condominiums And The California Corporate Securities Law

Some four years ago, I wrote about the Ninth Circuit Court of Appeals' holding in Salameh v. Tarsadia Hotel, 726 F.3d 1124 (9th Cir. 2013).  For those readers who don't remember the post or the case, the Court of Appeals held that the plaintiffs had...

California Securities Laws, investment contract, Harold Marsh, real estate development, Robert H. Volk, condominium, howey, salameh v. Tarsadia, Silver Hills

What Kind Of California Corporation Must Include A Salary Limitation In Its Articles Or Bylaws?

I suspect that at least a few California corporate lawyers are unaware of a provision in the California Corporations Code requiring the articles or bylaws of certain corporations to contain a limitation on the salaries paid to the persons operating...

California Securities Laws, nonprofit mutual benefit, Section 25100(f), Corporate Governance, Corporations Code, mutual water company, SB 633

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30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
Partner at Allen Matkins
(949) 353-6328
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