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Allen Matkins

Is A Change In Transfer Restrictions In A Shareholder Agreement Subject To Qualification?

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A recent post discussed whether amending a shareholders agreement is subject to qualification under the California Corporate Securities Law of 1968.  For the purpose of that discussion, it is important to recognize that not...more

Allen Matkins

Is An Option Exercise Non Bis In Idem?

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Is the issuance of shares upon exercise of a stock option distinguishable from the issuance of the option?  The answer under California's Corporate Securities Law of 1968 may surprise some.  Corporations Code Section 25017...more

Allen Matkins

A Field Guide To Issuer And Nonissuer Transactions

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The California Corporate Securities Law of 1968 applies a tripartite classification scheme to securities transactions.  Corporations Code Section 25110 requires qualification of issuer transactions; Section 25120 requires...more

Allen Matkins

Ninth Circuit Holds Loss Causation Required For California Securities Claim

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Section 25400(d) of the California Corporations Code declares it is unlawful for any person, directly or indirectly, in this state...more

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