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HomePractice Under the California Securities Laws
by R. Roy Finkle
, Keith Paul Bishop
:3 volumes loose-leaf updated with supplements and revisions
$2,321.00 Renew subscription
ISBN: 9780820515526
View a sample of this title using the ReadNow feature Practice Under the California Securities Laws, first published in 1977, provides detailed coverage of all aspects of the California Securities laws, includes full text of all California laws, regulations, and releases. Thorough coverage and insightful analysis of practice in this complex area cover the following key topics: • Expediting matters pending before the Department of Corporations • Qualification and exemption of securities and securities transactions under the Corporate Securities Law • Regulations governing real estate syndicates • Registration requirements under the Franchise Investment Law • Text of the Corporate Securities Law of 1968 • Text of the Franchise Investment Law • Text of the Regulations and Releases of the Commissioner of Corporations • Digests of opinions of the Department of Corporations under the Corporate Securities and Franchise Investment Law
R. Roy FinkleKeith Paul Bishop
The 2000 thru 2011 annual updates for this publication were reviewed by R. Roy Finkle. Mr. Finkle’s practice has emphasized corporation, partnership, securities, and commercial law. His business experience includes acquisitions, mergers, exchange offers, tender offers and institutional, venture capital, and private financing transactions, as well as the formation and operation of corporations, limited liability companies and joint ventures. He also advises businesses about, and structures, commercial transactions. Mr. Finkle’s securities law experience includes registrations, private placements, Securities Exchange Act compliance, and Blue Sky qualification and compliance. His partnership law experience includes structuring and drafting general and limited partnership agreements and related transactional documents. He also handles complex securities law and business fraud matters, defense of business related claims and lawsuits, probate and commercial litigation, and defense of attorney and accountant malpractice actions. Mr. Finkle also serves as an expert witness and consultant in business related matters.Mr. Finkle received his Juris Doctor degree from the University of California at Los Angeles (1973), and also holds a Master of Science degree in International and Comparative Management from the University of California at Los Angeles, School of Management (1974). Prior to that, he received a Bachelor of Arts degree in Chemistry from San Diego State University in 1968. He is a member of the State Bar of California. . Mr. Finkle was a friend and protégé of the late Harold Marsh and worked extensively with Professor Marsh over the years. View all products by R. Roy Finkle (1)
Keith Paul Bishop has worked with Mr. Finkle since 2009 in reviewing the updates. Mr. Bishop is now a partner at Allen Matkins Leck Gamble Mallory & Natsis LLP in Irvine, California. Mr. Bishop is a shareholder in the Irvine, California office of Buchalter Nemer. He focuses his practice on state and federal securities laws, corporate law, investment adviser and financial services regulation, and California administrative law. He regularly advises clients on compliance, licensing, regulatory and civil enforcement issues.Mr. Bishop has represented companies in a wide range of corporate transactions, including mergers, tender offers, contested proxy and consent solicitations, public offerings, private placements, and purchase and sale of assets. He has also represented clients in connection with internal corporate investigations. His clients have included companies listed on the New York and Nasdaq Stock Exchanges as well as nonprofit and closely held businesses.Mr. Bishop has held several significant California government positions including Commissioner of Corporations for the State of California; Deputy Secretary for Business Regulation and General Counsel to the California Business, Transportation & Housing Agency; Interim Savings and Loan Commissioner for the State of California. In 1991, Mr. Bishop was appointed by the Rules Committee of the California Senate to the California Senate Commission on Corporate Governance, Shareholder Rights and Securities Transactions. He is a former Co-Chairman of the Corporations Committee of the Business Law Section of the California State Bar and former Chairman of the Business and Corporate Law Section of the Orange County Bar Association. He has also served as a member of the Executive Committee of the Business Law Section of the California State Bar and as the California liaison to the American Bar Association’s Committee on the State Regulation of Securities.Mr. Bishop is an adjunct professor of law at Chapman University Law School where he has taught classes in corporate governance and commercial law.Mr. Bishop received his Juris Doctor degree from the University of Southern California and his Bachelor of Arts degree from Harvard University.
Volume 1 Table of Contents A COMPLETE SYNOPSIS FOR EACH CHAPTER APPEARS AT THE BEGINNING OF THE CHAPTER  CHAPTER 1 HISTORY OF CALIFORNIA CORPORATE SECURITIES LAW  CHAPTER 2 ORGANIZATION AND ADMINISTRATION OF THE DEPARTMENT OF CORPORATIONS  CHAPTER 3 OFFERS AND NEGOTIATIONS  CHAPTER 3A FEDERAL PREEMPTION OF STATE SECURITIES REGULATION  CHAPTER 4 GENERAL EXEMPTIONS FROM QUALIFICATION  CHAPTER 5 PROBLEMS RELATING TO SPECIAL TYPES OF ISSUERS AND SECURITIES  CHAPTER 6 PROCEDURE FOR QUALIFICATION OF ISSUER TRANSACTIONS CHAPTER 7 RECAPITALIZATIONS AND REORGANIZATIONS CHAPTER 8 STANDARDS FOR THE EXERCISE OF THE COMMISSIONER�S DISCRETION  CHAPTER 9 CONDITIONS OF QUALIFICATION  CHAPTER 10 NONISSUER TRANSACTION CHAPTER 11 TRANSFER OF SECURITIES SUBJECT TO LEGEND OR ESCROW CONDITION CHAPTER 12 ADVERTISING SECURITIES CHAPTER 13 REGULATION OF AGENTS, BROKER-DEALERS, AND INVESTMENT ADVISERS CHAPTER 14 CIVIL LIABILITIES  CHAPTER 15-30 [RESERVED]   CHAPTER 31 REGULATION OF REAL ESTATE SYNDICATES BY THE CORPORATIONS COMMISSIONER CHAPTER 32-39 [RESERVED]   CHAPTER 40 REGISTRATION OF FRANCHISES UNDER THE CALIFORNIA FRANCHISE INVESTMENT LAW  Volume 2 Table of Contents APPENDIX A-I THE CALIFORNIA CORPORATE SECURITIES LAW OF 1968 AND  RULES THEREUNDER, ANNOTATED Part 1 Definitions Part 2 Qualification of the Sale of Securities Part 3 Regulation of Agents, Broker-Dealers and Investment Advisers Part 4 Advertising Securities Part 5 Fraudulent and Prohibited Practices Part 6 Enforcement Part 7 Administration Part 8 General Provisions  Volume 3 Table of Contents  CORPORATE SECURITIES MATERIALS  APPENDIX A-2 DEPARTMENT OF CORPORATIONS GENERAL RELEASES  APPENDIX A-3 SELECTED SAMPLE COMPLETED FORMS UNDER CORPORATE SECURITIES LAW  APPENDIX A-4 DEPARTMENT OF CORPORATIONS RELEASES UNDER THE CORPORATE SECURITIES LAW OF 1968  APPENDIX B-1 BROKER-DEALER APPLICATION FORMS  FRANCHISE INVESTMENT MATERIALS APPENDIX C-1 FRANCHISE INVESTMENT LAW AND RULES AND FORMS THEREUNDER APPENDIX C-2 DEPARTMENT OF CORPORATIONS&#34 &#39GUIDELINES FOR FRANCHISE REGISTRATION&#39  APPENDIX C-3 California Franchise Relations Act  APPENDIX C-4 DEPARTMENT OF CORPORATIONS RELEASES UNDER THE FRANCHISE INVESTMENT LAW TABLE OF CASES TABLE OF STATUTES INDEX