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Confirmation In California

As in the federal system, gubernatorial appointees to many California state agencies and departments are subject to confirmation by the Senate.  Cal. Gov't Code § 1322.  There are, however, a number of important differences between the federal and...

Commissioner of Business Oversight

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

A Permit To Negotiate - Really?

It is sometimes forgotten that the California Corporate Securities Law of 1968 makes it unlawful to either offer or sell a security in California in an issuer transaction unless that the sale has been qualified or exempt from or not subject to...

35 persons, California Securities Laws, Commissioner of Business Oversight, exempt, negotiating permit, qualification, qualified, Rule 260.102.1, section 25110, Uncategorized

California Finders Exemption Regulations Are Now Effective

The Commissioner of Business Oversight's final regulations implementing a new exemption for finders from the broker-dealer provisions of the Corporate Securities Law took effect on June 21, 2017.  See 10 CCR §§ 260.211.4, 260.211.5, 260.211.6 and...

260.211.4, 260.211.5, 260.211.6, 260.211.7, AB 667, broker-dealer, Broker-Dealers, Commissioner of Business Oversight, exemption, Section 25206.1

California Proposes To End Bylaw Amendment Reviews

Credit Unions got their start in Nineteenth Century Germany.  In 1909, Roman Catholic textile workers opened the first credit union in the United States, St. Mary's Cooperative Credit Association (later, renamed La Caisse Populaire Ste.-Marie).  At...

10 CCR 30.105, amendment, Bylaws, Commissioner of Business Oversight, Credit Union, Financial Code, Financial Institutions, NCUA, state charter, Uncategorized

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30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
Partner at Allen Matkins
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