Allen Matkins Leck Gamble Mallory & Natsis LLP

SEC Overlooks Nevada’s Transfer Agent Licensing Laws

Transfer agents provide a number of crucial services, primarily for publicly traded companies. Among other responsibilities, they maintain ownership records, record security transfers, issue and cancel certificates and…more
| Business Organizations, Securities Law

Does California Corporate Law Really Govern 20% of All Public Companies?

On Tuesday, the Deal Professor (aka Berkeley Law School Professor Steven Davidoff Solomon) wrote an interesting column for The New York Times’ Dealb%k. According to the Professor, California is the headquarters state for 20% of…more
| Business Organizations, Securities Law

Sustainable Development Update - September 2016 #2

Sustainable Development Focus - CleanFund finances $3.5M for California projects - Bisnow - Sep 19 - San Francisco-based CleanFund closed six transactions in California totaling about $3.5 million. Property owners…more
| Energy & Utilities, Environmental Law, Real Estate - Commercial

Can Limited Partnerships Have Officers?

Can limited partnerships have officers? In many cases, individuals with officer titles will actually be officers of the general partner. My question is whether a limited partnership itself may have officers…more
| Business Organizations

Funds and Investment Advisers: Changes Coming in AML Compliance

Anti-money laundering (AML) regulation has continued to evolve since it was introduced in 1970 under the broad regulatory scheme commonly known as the Bank Secrecy Act. While funds and investment advisers have not been subject…more
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

What The Public Utilities Code, Toilets And A Porphyrogenetus Emperor Have In Common

Mobile West LLC v. City & County of San Francisco, 2016 Cal. App. LEXIS 769 (1st Dist. Sept. 15, 2016) is not the kind of case that I typically write about in this blog. After all, it has nothing to do with corporate,…more
| Energy & Utilities

California Environmental Law & Policy Update - September 2016 #3

Environmental and Policy Focus - Federal Plan divvies up California desert for conservation and energy projects - ABC News - Sep 14 - Swaths of public land in the California desert will be opened to solar and wind…more
| Energy & Utilities, Environmental Law

Renewable Energy Update - September 2016 #3

Renewable Energy Focus - Solar, wind developers: U.S. desert plan hurts renewable energy - Reuters - Sep 14 - On Wednesday, the U.S. Department of Interior unveiled the first phase of the Desert Renewable Energy…more
| Energy & Utilities, Environmental Law

Should Tweener Corporations Include This Provision In Their Equity Compensation Plans?

I have previously commented on the phenomenon of what I call the “tweener” corporation. See Will The Rise Of Tweener Corporations Increase Focus On California’s Annual Report Statute? These are corporations that are not quite…more
| Business Organizations, Securities Law

Court Rules Coequal Stockholders Owe Fiduciary Duties To Each Other

Stockholders in closely held corporations often operate their companies as if they were partnerships. Does that mean that the stockholders, like partners, owe fiduciary duties to each other?…more
| Business Organizations, Civil Procedure, Securities Law, Taxation

Was This “Whiz Kid” An Investment Adviser?

Earlier this week, the Securities and Exchange Commission announced that a self-styled “stock trading whiz kid” and his Los Angeles, California company have agreed to pay $1.5 million to settle a complaint for violations of Rule…more
| Business Organizations, Securities Law

NASAA Releases 2015 Enforcement Report

State securities regulators serve an important local enforcement function. In fact, state securities regulation precedes federal regulation by more than two decades. The North American Securities Administrators Association is…more
| Business Organizations, Securities Law

Ninth Circuit Holds Attorney’s Statement Was “Made”, Not Attributed

Readers familiar with the Nicene Creed will instantly recognize the phrase “begotten, not made”. I won’t wade into the theological meaning of this phrase, but I cite it as an example of the importance that can be attached to…more
| Business Organizations, Securities Law

Renewable Energy Update - September 2016 #2

Renewable Energy Focus - California becomes a global laboratory in fight against climate change - Los Angeles Times - Sep 8 - California will become a petri dish for international efforts to slow global warming…more
| Elections & Politics, Energy & Utilities, Environmental Law

The Charging Order – How The Nevada Secretary Of State Doesn’t Get It Quite Right

In 2007, Nevada imposed an interesting limitation, the charging order, on the ability of creditors to foreclose on shares of closely-held Nevada corporations. Here’s how the Nevada Secretary of State’s website describes the…more
| Bankruptcy, Business Organizations, Finance & Banking, Securities Law
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