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"Extracts from the SEC's Proxy Access Amendments, With Some Remarks Upon Them"

James McRitchie at recently made reference to a forthcoming law review article by J.W. Verret at George Mason University School of Law.  Professor Verret posits in various strategems for discouraging shareholder nominations.  He writes...

Placement Agent Bill Passes

The legislature has passed and sent AB 1743 (Hernandez) to Governor Schwarzenegger for signature.  If signed into law, this bill will require placement agents with respect to public retirement systems to register as lobbyists.  This would have many...

Legislative Session Now Ended (Almost)

Yesterday was the end of the current legislative biennium.  Under the California Constitution and legislative rules, this means that any bill not passed before today is now dead.  Cal. Cons. Art. IV, § 10(c), Legislative Joint Rule No. 61(b)(17)).


CA AG Files Criminal Complaint Against Sellers of Movie Loans

Last week, the California Attorney General filed this 89 count criminal complaint against three individuals.  The complaint alleges that these individuals offered and sold securities without qualification under the Corporate Securities Law of 1968. ...

Proxy Access and Director Qualification Requirements

Last week, the Securities and Exchange Commission adopted its final changes to the federal proxy rules.  These new rules will require public companies, under specified circumstances, to include in their proxy materials information about, and the...

State Shareholder Nomination Rights

The nice thing about being a corporate and securities lawyer is that I'm never at a loss for new reading material.  Just as I was beginning to despair about what to read after the Dodd-Frank Act, the Securities and Exchange Commission issued its...

CalPERS Corrects Placement Agent Notice (Again)

Yesterday, the California Public Employees Retirement System (CalPERS) issued another corrected notice regarding its proposed placement agent disclosure regulations.  The notice had incorrectly stated that the CalPERS Investment Committee would...

Bills Making Last Dash to Enrollment

With the current legislative biennium ending next week, here are some key dates to keep in mind:

  • August 31 - Last day for any bill (with certain exceptions) to be passed (Cal. Const. Art. IV, § 10(c), Joint Rule (J.R.) 61(b)(17)). Final Recess...

Does George Babbitt Need a Broker-Dealer License (Part III)?

Yesterday's post concerned additional exemptions for real estate brokers under the California Corporate Securities Law.  Today's post is the final in this series (for now).

Corporations Code § 25004 defines the term "broker-dealer".  Subdivision...

Does George Babbitt Need a Broker-Dealer License (Part II)?

Last week, I discussed the real estate broker exemption from broker-dealer licensing requirements in California Corporations Code § 25206.  Commissioner's Release 62-C provides additional clarifying comments regarding this exemption.



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