Administrative Agency Securities Family Law

Read need-to-know updates, commentary, and analysis on Administrative Agency issues written by leading professionals.
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When Asking For Spousal Consent Is Unlawful

From time to time, a question will arise about the necessity of obtaining spousal consent in connection with the purchase or sale of a security. Interestingly, California declares it unlawful for any agent or broker-dealer...more

Legislative Proposals to Facilitate Small Business Capital Formation

In our June 2011 client memorandum, we discussed H.R. 2167, the proposed bill introduced by Representative David Schweikert (R-AZ) to increase the threshold for mandatory registration for all companies under the Securities...more

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