News & Analysis as of

Corporate Securities Act

Something Appears To Be Awry With California’s Insider Trading Statute

by Allen Matkins on

I trust that by now most quotidien readers of this blog should be familiar with Corporations Code Section 25402 which declares insider trading to be unlawful. Although the statute has been on the books since the enactment of...more

Silver Hills Doesn’t Mute Howey

by Allen Matkins on

Anyone who has studied securities regulation since 1946 should be familiar with the U.S. Supreme Court’s definition of a “security” as enunciated by Justice Frank Murphy in S.E.C. v. Howey Co., 328 U.S. 293 (1946). That test...more

California’s Other Investment Adviser Law

by Allen Matkins on

California’s Corporate Securities Law of 1968 defines and provides for the comprehensive regulation of most, but not all, investment advisers.  Some investment advisers are subject to an entirely different law found in the...more

Why Can’t Government Play By The Same Rules As Hoi Polloi?

by Allen Matkins on

The State of California doesn’t like persons who commit securities fraud. Persons who mislead others by means of a written or oral misstatement of a material fact or omission of a material fact can be held liable for...more

Can The DBO Incorporate By Reference A Federal Form?

by Allen Matkins on

Almost a year ago, the Commissioner of Corporations (now the Commissioner of Business Oversight) proposed to amend the custody rule, 10 CCR Section 260.237, for investment advisers under the Corporate Securities Law of 1968. ...more

Silver Hills May Tarnish Crowdfunding

by Allen Matkins on

Both Section 2(1) of the Securities Act of 1933 and Section 25019 of the Corporate Securities Law of 1968 provide extensional definitions of the term “security”. That is, they each list everything within the term being...more

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Cybersecurity

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