The purpose of this memorandum is to review certain reporting and disclosure requirements, and certain restrictions that may limit the disposition of securities of the company held by its officers, directors and principal shareholders, which are imposed by the Securities Act of 1933, the Securities and Exchange Act of 1934, and the rules of the Securities and Exchange Commission thereunder. This memorandum is prepared for the management of the company and should be treated as a confidential communication between the company and its counsel.
Rhode Island Limitation on Disposition of Securities Memorandum
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Rule 37 - Failure to Make or Cooperate in Discovery: Sanctions. (a)Motion for Order Compelling Discovery. A party, upon reasonable notice to other parties and all persons affected thereby, may apply for an order compelling discovery as follows: (1)Appropriate Court.
Rule 36 - Clerical Mistakes. Clerical mistakes in judgments, orders, or other parts of the record and errors therein arising from oversight or omission may be corrected by the court at any time of the court's own initiative or on the motion of any party and after such notice, if any, as the court orders.
One of the most notable revisions to Rule 45 is its simplification of the rules governing the issuance of. subpoenas. Subdivision (a) of the revised rule now provides that a subpoena must issue from the court where the. action is pending rather than from the court where compliance is required.1.
Service of a subpoena upon a person named therein shall be made by delivering a copy thereof to such person and, if the person's attendance is commanded, by tendering to that person the fees for one (1) day's attendance and the mileage allowed by law.
An action may be dismissed by the plaintiff without order of court (A) By filing notice of dismissal at any time before service by the adverse party of an answer or a responsive pleading or a motion for summary judgment, whichever first occurs; or (B) By filing a stipulation of dismissal signed by all parties who have ...
Failure by any person without adequate excuse to obey a subpoena served upon that person may be deemed in contempt of the court in which the action is pending.
(A) A party may object to discovery of electronically stored information from sources that the party identifies as not reasonably accessible because of undue burden or expense. In the party's objection, the party shall identify the reason for the undue burden or expense.
Personal Service: Pursuant to FRCP Rule 45(b)(1) a subpoena must be personally delivered to the person whose attendance is required by the subpoena. A person who serves the subpoena must be at least 18 years of age. A person who serves the subpoena cannot be a party to the proceeding under which the subpoena is issued.