Contact us with your California corporate & securities law questions (949) 353-6347 or Contact us here

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)

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...

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

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...

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

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

1

ANY QUESTIONS REGARDING CALIFORNIA CORPORATE AND SECURITIES LAW? CONTACT US DIRECTLY

We offer expert advice with the intricacies of California law.

Our years of experience and expertise allow us to help clients navigate the business laws in California.

CONTACT US

Get the latest news and analysis about California Corporate & Securities law. Subscribe to our newsletter today!

We respect your email privacy

ABOUT OUR AUTHOR

30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
Partner at Allen Matkins
(949) 353-6328
 Contact me
Learn More About Keith

RECOGNITION

JDSupra 2018

nominee-badge

Get the latest news and analysis about California Corporate & Securities law. Subscribe to our newsletter today!

We respect your email privacy

CATEGORIES

see all

YOUTUBE

FACEBOOK