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The Impact Of The Dodd-Frank Act On California Financial Institutions

Bill Haraf, Commissioner of Financial Institutions, was one of the many witnesses who testified last week at the California legislature's joint informational hearing entitled "The Dodd-Frank Wall Street Reform and Consumer Protection Act: Initial...

Placement Agent Law Clean-Up Amendments Introduced

As I mentioned in this March 11 posting, Senator Ed Hernandez has introduced a bill, SB 398, that is intended to clean-up some of the many questions arising under legislation, AB 1743, that was enacted last session.  In general, AB 1743...

Broker-Dealer Safe Harbor Rule Nears Adoption

In 2007, the California Court of Appeal fired what I called at the time "a shot not heard" when it issued its opinion in People v. Cole, 156 Cal. App. 4th 452 (2007).   Seemingly, a key holding of that case was that corporate officers and directors...

A Leopard Loses His Spots – AB 361 Is Amended

AB 361 (Huffman) started out life as a spot bill (see discussion of "spot bills" in this post).  Assembly Member Jared Huffman has now amended AB 361 to authorize the formation of so-called "benefit corporations".  One proponent of AB 361 has told...

Tune In To Today's Dodd-Frank Act Hearing

The California Assembly Committee on Banking and Finance will be holding a joint informational hearing with the Senate Committee on Banking and Financial Institutions on the Dodd-Frank Act today at 1:30 p.m. (California time).  This hearing is...

The DOC - Eppur Si Muove!

On April 11, 2011, the California Department of Corporations will be moving its San Francisco office to:

One Sansome Street, Suite 600 San Francisco, CA 94104

In addition to the San Francisco office, Department of Corporations currently has offices...

Bill Aims To Add Bite To Federal Conflict Minerals Disclosure Requirement

Section 1502 of the Dodd-Frank Act added a new Section 13(p) to the Securities Exchange Act of 1934.  Section 13(p) requires the SEC to promulgate disclosure and reporting regulations regarding the use of conflict minerals from the Democratic...

Staff Considers "Enantiomeric" Proposal And Reaches Opposite Conclusion

Have you ever noticed that your right hand and left hand are the same, but you can't superimpose one hand perfectly on top of the other?  Your thumbs always end up on opposite sides.  Your hands are "enantiomers", that is non-superposable mirror...

Secretary Of State Proposes Rule Changes / AB 657 Set For First Hearing

Regulations Proposed

Pursuant to Corporations Code § 1502, every corporation organized under the California General Corporation Law must file a Statement of Information with the Secretary of State within 90 days after filing of its initial Articles...

Commissioner Previews Potential Private Fund Adviser Rule Changes

If you're reading this blog, then you had a better Ides of March than Julius Caesar did in 44 B.C.E. 

In this March 5 post, I reported that the Commissioner of Corporations would be seeking comments on proposed amendments to Rule 260.204.9. ...


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