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News & Publications >> Legal Alerts

Corporate & Finance Legal Alerts

Corporate & Finance Legal Alerts 1 - 25 of 27
Legal Alert 9/20/2016
Funds and Investment Advisers: Changes Coming in AML Compliance
articles 6/14/2012
No Way, Amending an Agreement Can Violate State Securities Laws?
by Keith Paul Bishop in Daily Journal
Legal Alert 2/1/2012
Recent Seventh and Ninth Circuit Cases Affect Federal Equity Receiverships
Legal Alert 7/20/2011
CalPERS/CALSTRS Set to Launch Diverse Database
Legal Alert 2/25/2011
New U.S. Supreme Court Decision Clarifies Federal Diversity Jurisdiction Over Corporations
This alert applies to: Companies that operate in more than one state. Companies with corporate headquarters in one state, and business activities in other states. PLEASE CONTACT US if you have questions regarding this decision and how it may affect your company.
Legal Alert 2/2/2010
Six Questions Every Public Company Should Ask Now to Prepare for its 2010 Proxy Statement and Form 10-K
Legal Alert 12/10/2009
NASDAQ Stock Market LLC Adopts Ten-Minute Warning Rule
This alert contains information that affects NASDAQ listed companies.
Legal Alert 10/29/2009
Legal Alert: Regulation of Member Private Offerings
Private offerings of securities by a FINRA member firm or a control entity must comply with new disclosure and filing requirements and limitations on the use of proceeds.
Legal Alert 10/22/2009
Legal Alert: California Enacts Emergency Legislation to Address Pay-to-Play and Public Pension Funds
This new law will impact investment advisers and others who use placement agents to obtain access to public retirement systems in California.
Legal Alert 10/7/2009
Legal Alert: Proposed Legislation Imposes New Requirements on Private Fund Advisers
This alert is important to any person or entity that manages private funds.
Legal Alert 9/3/2009
California Simplifies Requirements for Electronic Communications to Shareholders and Corporate Members
This alert applies to California for-profit and non-profit corporations.
Legal Alert 9/3/2009
California to Extend Significant Corporate Law Benefits to NASDAQ Capital Market Companies
This alert applies to corporations with outstanding shares listed on the NASDAQ Capital Market
Legal Alert 8/25/2009
California Corporations Commissioner Extends Key Listed Securities Exemptions to NASDAQ Capital Market Issuers
This alert applies to corporations with securities listed on the NASDAQ Capital Market.
Legal Alert 7/16/2009
State of California's Issuance of Registered Warrants Raises Securities Law Questions and Concerns
Legal Alert 6/30/2009
Court of Appeal Holds that a Non-Shareholder has Standing to Challenge the Election of Corporate Directors
California's statute applies to foreign corporations when the election or appointment of a director occurs in California.
Legal Alert 5/27/2009
Securities and Exchange Commission Proposes To Amend Investment Adviser Custody Rule
Legal Alert 4/29/2009
Don't be Fooled by Misleading Solicitations
This alert applies to corporations and limited liability companies in California.
Legal Alert 4/28/2009
Acquiring Manufacturing Business in Turbulent Times
This is the second part of a series of alerts identifying business and legal issues involved in purchasing businesses in the current market.
Legal Alert 3/25/2009
Acquiring Restaurants in Turbulent Times
Our attorneys have worked with more than 80 nationally recognized restaurant companies. Based on those experiences we offer these helpful tips.
Legal Alert 3/10/2009
It's Only a Matter of Degree – Companies Find Trouble in Publicizing the Educational Backgrounds of Officers
Legal Alert 8/11/2008
California Supreme Court Confirms Limited Enforceability of Non-Competition Agreements in California
Employers should reevaluate existing agreements with California employees in light of the Edwards Decision by the California Supreme Court.
Legal Alert 8/5/2008
SEC Publishes Guidance on Expanding the Role of Company Web Sites for Distributing Investor Information
Public and privately held companies should be aware of new SEC guidance on federal securities law implications of company Web sites. The new guidance contains helpful information in how companies may use the Internet to provide disclosures to investors, but does not give companies a blank check to use the Internet to disclose information to investors.
Legal Alert 2/13/2008
SEC Adopts Rule Amendments to Increase Liquidity and Decrease Issuer Capital Costs
Corporate & Securities Legal Alert 2/7/2008
SEC Adopts New Rules to Assist Smaller Public Companies
This Alert affects public companies with public floats of less than $75 million.
Legal Alert 12/4/2007
SEC "green lights" advertising: Proposed amendments would provide greater access to capital sources
Corporate & Finance Legal Alerts 1 - 25 of 27