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Proxy Access and Majority Voting

According to yesterday, the Security and Exchange Commission's proxy access rules were published yesterday in the Federal Register - thereby starting the clock on the effectiveness of the rules.

In complying with proxy...

LLC Contractor Bill Is Held At Desk

On September 3, 2010, I wrote that SB 392 (Florez) had made it to enrollment.  This bill authorizes the State Contractors' License Board to issue a contractor’s license to a limited liability company.  Normally, a bill is sent to the Governor after...

Attorney General Suffers Setback in Placement Agent Suit

Yesterday, Bankruptcy Court Judge John Peterson issued his written decision regarding whether the State of California should be granted relief from the bankruptcy automatic stay in order to pursue a civil enforcement action against Alfred R....

Offers and Sales to Governmental Agencies

David Freeman of Arnold & Porter LLP recently submitted this letter to the Securities and Exchange Commission on behalf of the State of Alaska.  The letter urges the SEC to amend its definitions of "accredited investor" in Rule 215 and Regulation D...

CalPERS Considers Placement Agent Regulations Today

CalPERS has been working on its placement agent disclosure regulations for several months now.  Today, CalPERS' Investment Committee will consider approving revisions to the proposed regulations.  If approved, the final rulemaking package will be...

The Dodd-Frank Act's Impact on California's Restrictions on Investment Adviser Performance Compensation

Prior to the enactment of the Dodd-Frank Act, Section 205 of the Investment Advisers Act of 1940 prohibited the receipt of performance compensation by an investment adviser unless the adviser was exempt from registration under Section 203(b) of the...

A Win for Queequeg: The Ninth Circuit Holds that Tattooing is Constitutionally Protected

Occasionally, I can't resist the temptation to digress into other legal areas.  Today's opinion by the Ninth Circuit Court of Appeals in Anderson v. City of Hermosa Beach  (Case No. 08-56914, Sept. 9, 2010) is one of these irresistable tempations. 


Will the "Real" Directors Please Take Your Seats?

As discussed in this earlier post, the Securities and Exchange Commission's new proxy access requirements will likely bring attention to director qualification requirements.   The California General Corporation Law does not require that a person...

Want to Nominate a Director Today? Here's How

The Securities and Exchange Commission's new proxy access requirements are garnering a great deal of attention even though those rules have yet to take effect.  In the meantime, you can still nominate a candidate for election as a director by...

Director Qualification Requirements, Nominations & Proxy Access

As discussed in this earlier post, the SEC's proxy access rule amendments will soon require many publicly traded companies to include shareholder nominees in their proxy statement and proxy cards.  This rule may reignite old questions about how to...


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