California Corporate & Securities Law

In this recent post, I wrote about California's employee whistleblower legislation. California Labor Code § 1102.7 requires the California Attorney General to maintain a whistleblower hotline to receive calls from persons who have information...

The Department of Corporations has completed its rulemaking package for a proposed rule that would establish a non-exclusive safe harbor from California's broker-dealer registration requirement for associated persons of an issuer. The new rule would...

In prior posts, I discussed two unusual California statutes relating to choice-of-law and choice-of-forum provisions in agreements. Choice-of-forum provisions are often confused with choice-of-venue provisions. A choice of forum relates to the place...

Yesterday, the Securities and Exchange Commission proposed rules for implementing the whistleblower provisions of the Dodd-Frank Act. That act established a whistleblower program that requires the SEC to pay a bounty to eligible whistleblowers who...

Here's a common "Governing Law" provision:

As discussed in this prior post, the Securities and Exchange Commission recently proposed rule amendments to implement the Dodd-Frank Act's executive compensation advisory votes mandates. Regrettably, the SEC's proposal perpetuates the common...

Last week, I wrote about Judge Woolard's decision to order the California Public Employees Retirement System to disclose documents to the First Amendment Coalition about a real estate investment. This isn't the first time that CalPERS has tangled...

To many, October 31 is Halloween but to a few (well, maybe one or two) die-hard traditionalists like me, October 31 is Nevada Day.   As a schoolchild in Nevada, we always looked forward to having the day off from school. 

Three years ago, I petitioned the California Public Employees Retirement System (CalPERS) to adopt regulations regarding requests for information pursuant to the California Public Records Act, Government Code § 6250 et seq. The purpose of my request...