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CALIFORNIA CORPORATE & SECURITIES LAW

Three Considerations For Drafting A Code of Business Conduct

Although the Securities and Exchange Commission does not require that a company adopt a code of business conduct and ethics, I would be very surprised to hear of an SEC reporting company that has not adopted such a code.  Item 406 of Regulation S-K requires a reporting company to disclose whether it has “adopted a code of ethics…

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New U.S. Exchange – “It’s Better Than A Magic Lantern Show”

What’s the third largest securities exchange operator in the United States and where is it located?  The answers may surprise you.  The exchange operator is called BATS and it is based outside of Kansas City.  BATS is derived from an initialization of Better Alternative Trading System. What Next! What Next? BATS was formed less than a decade ago as an…

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