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The One Thing You Should Not Call Someone Who Is Not Your Partner

I recently wrote about Magistrate Judge Jacqueline Scott Corley's ruling in  t'Bear v. Forman, 2019 U.S. Dist. LEXIS 19460.  In that post, I focused on the question of the enforcement of loans made by an unlicensed lender.  The case also involved...

partnership

Legislature Mulls Adding Definition To The Definition Of "Broker" Under CFL

The California Financing Law enjoins anyone from engaging in the business of a finance broker without a license from the Commissioner of Business Oversight.  Cal. Fin. Code § 22100(a).  The CFL, however, defines "broker" in a decidedly unhelpful...

California Financing Law

Legislature To Consider Authorizing Real Estate Broker Licenses To LLCs

In California, real estate broker licenses are currently issued only to individuals and corporations.  Limited liability companies need not, indeed may not, apply.  This is a result of a compromise that was reached when California’s original limited...

Limited Liability Company

Legislature Proposes Cleaning Up California Business Statutes

California has thousands of statutes on the books.  Over the years many have become outdated, referring to laws, agencies and office titles that no longer exist.  For the public, this can be very frustrating as it is not always clear whether there...

Legislation

Borrower Seeks To Void Notes Because Lender Was Not Licensed Under The CFL

The California Financing Law (fka Finance Lenders Law) prohibits anyone from engaging in the business of a finance lender without obtaining a license from the California Commissioner of Business Oversight (unless exempt).  Cal. Fin. Code §...

Federal Court Blocks Shareholder Inspection Of Delaware Corporation's Records Pursuant To California Statute

United States District Court Judge Haywood S. Stirling, Jr. yesterday blocked a stockholder's attempt to use California's shareholder inspection statute to gain access to a corporation's "books and records and minutes of proceedings of the...

Pseudo foreign corporation

First Proxy Statements Addressing California's Female Director Quota Law Are Filed

California's female director quota law has received a great deal of attention in this blog and elsewhere.  Beginning this year, the law requires certain publicly traded companies with their principal executive offices in California to have at least...

Corporate Governance

Board Diversity And Proxy Fraud

Earlier this week, the Securities and Exchange Commission staff added two new Compliance and Disclosure Interpretations dealing with disclosures of self-identified diversity characteristics under Items 401(e) and 407(c)(2)(vi).  Both C&DIs pose the...

Corporate Governance

Will Regulation "Best Interest" Preempt State Law?

Yesterday's post concerned possible arguments that federal law preempts Nevada's fiduciary standard for broker-dealers.  At present, any preemption would have to be based on the National Securities Markets Improvement Act and/or the Dodd-Frank Act. ...

broker-dealer

Is Nevada's Broker-Dealer Fiduciary Standard Constitutional?

Recently, I wrote about the Nevada Secretary of State's proposal to adopt regulations implementing legislation that imposes a fiduciary standard on brokers.  See Nevada Secretary Of State Unveils Proposed Broker-Dealer Fiduciary Rules.  This rule...

Broker-Dealers

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30172DBAB0084D3A8F39D7AF0A8E79BC.ashxKeith Paul Bishop
Partner at Allen Matkins
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