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| Practice Areas | Corporate Law; Business Law | | | Education | University of Sourthern California, J.D., 1981, Harvard University, B.A., 1978 | | | Admitted | 1981, California, U.S. District Court, Northern, Southern, Eastern and Central Districts of California and U.S. Court of Appeals, Ninth Circuit | |
| ISLN | 909011909 | |
Documents by this lawyer on Martindale.com
Regulation of Member Private Offerings
Keith Bishop, James (Kimo) E. McCormick, November 6, 2009 The Financial Industry Regulatory Authority ("FINRA") adopted new Rule 5122 to require FINRA member firms, and associated persons that engage in certain private placements of its own securities or the securities of a control entity, to comply with certain disclosure and filing...
Proposed Legislation Imposes New Requirements on Private Fund AdvisersJames (Kimo) E. McCormick, Keith Bishop, October 16, 2009 Three pieces of draft legislation aimed at tackling key parts of reforming the regulatory structure of the United States financial services industry were released on October 1, 2009. The proposed legislation tightens regulation on "private fund" advisers requiring registration and...
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