It’s Not Too Late
As a reminder, the comment period ends today on the Department of Corporation’s proposal to add a new rule, 260.004.1, to address concerns about the Court of Appeal’s holding in People v. Cole, 156 Cal. App. 4th 452 (2007). In that case, the court upheld the criminal convictions of two individuals for engaging in unregistered broker-dealer activity. The individuals had claimed Read more...
Wasting Trees in California
More than a decade ago, the Securities and Exchange Commission adopted rule amendments that allow for the delivery of a single set of proxy materials to shareholders who share a single address. This is often referred to as “householding”. Many publicly traded companies have relied upon these rules to reduce their costs of printing and postage. From an environmental perspective, Read more...
