Securities Law, Business Organization, Wills, Trusts, & Estate Planning

Family Office Relief from CPO Registration

by W. Scott McGinness Jr. | Miller & Martin PLLC on 2/26/2013

As noted in an earlier Client bulletin, the Division of Swap Dealer and Intermediary Oversight (“Division”) of the Commodity Futures Trading Commission (“CFTC”) issued a no-action letter dated November 29, 2012 enabling...more

Using the Reg. S Exemption for Foreign Investors

by The California Securities Attorneys on 1/9/2013

Using Reg. S is useful when the issuer does not want to be limited by the restrictions of Rule 506. With a Rule 506 offering all investors must be either accredited or sophisticated, and there is a limit of 35 non-accredited...more

Using Finders to Locate Investors – Bruce E. Methven

by The California Securities Attorneys on 12/11/2012

A number of years ago the SEC effectively banned the use of finders to locate investors for securities offerings that cross state lines. Still, a few states allow finders for their intrastate offerings (offerings made...more

The Anglo-American Trust is Powerful and Nimble, but not a Magician

by Charles E. Rounds, Jr. on 10/1/2012

The great English legal scholar, Frederic William Maitland (1850-1906), saw the trust as “an ‘institute’ of great elasticity and generality; as elastic, as general as contract.” It is hard to disagree. Most mutual funds are...more

The SEC Proposed Rule 506(c) To Permit General Solicitation

by Christine McKillip on 8/31/2012

On August 29, 2012, the Securities and Exchange Commission (the “SEC”) released its first proposed rule for the implementation of the Jumpstart Our Business Startups Act (the “JOBS Act”): “Eliminating the Prohibition Against...more

The SEC Proposed Rule 506(c) To Permit General Solicitation

by Steven Thayer on 8/31/2012

On August 29, 2012, the Securities and Exchange Commission (the “SEC”) released its first proposed rule for the implementation of the Jumpstart Our Business Startups Act (the “JOBS Act”): “Eliminating the Prohibition Against...more

Are REITS Investment Advisers?

by Allen Matkins Leck Gamble Mallory & Natsis... on 6/29/2012

A REIT is an acronym for Real Estate Investment Trust, although the term more properly refers to tax status than a specific entity type. For a variety of reasons, a REIT may involve several different types of entities. The...more

The Commodity Futures Trading Commission Rescinds a Common Family Office Exemption

by Thomas J. Handler, J.D., P.C. on 5/17/2012

The recent implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) requirements has significantly changed the Commodity Exchange Act (the “CEA”). As a result of these changes,...more

Handler Thayer Family Office Alert - The Commodity Futures Trading Commission Rescinds a Common Family Office Exemption

by Christine McKillip on 5/17/2012

The recent implementation of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”) requirements has significantly changed the Commodity Exchange Act (the “CEA”). As a result of these changes,...more

Congress Opens the Door to More Small Company Offerings

by Steven Thayer on 2/23/2012

Raising capital for small businesses has always been difficult and the economic downturn of 2008 did not help matters. Banks that were once a good source of small business financing are now paralyzed and afraid to take any...more

Congress Opens the Door to More Small Company Offerings

by Christine McKillip on 2/23/2012

Raising capital for small businesses has always been difficult and the economic downturn of 2008 did not help matters. Banks that were once a good source of small business financing are now paralyzed and afraid to take any...more

Crowd Funding Bills Stall in Congress

by Christine McKillip on 1/26/2012

The growth of social media websites over the last ten (10) years has led many entrepreneurs to seek opportunities to access capital through their online networks, such as Facebook and LinkedIn. This “crowd funding” model of...more

The Academics Are Just Plain Wrong: The Trust Is Not a Contract

by Charles E. Rounds, Jr. on 12/1/2011

Since the 1960s, the trust has been under attack on two fronts in the American law school. First, the traditional Trusts course has been down-graded to elective status, a misguided curricular “reform” that Charles E. Rounds,...more

Corporate and Financial Weekly Digest - October 21, 2011

by Katten Muchin Rosenman LLP on 11/22/2011

In this issue; - ISS Publishes Proposed Changes to Proxy Voting Policies - SEC’s Division of Corporation Finance Issues Bulletin Regarding Legal and Tax Opinions - Derivatives Clearing Organization General...more

SEC Adopts Final Definition of “Family Offices” Exempt From Investment Advisers Act

by McDermott Will & Emery on 9/20/2011

On June 22, 2011, the Securities and Exchange Commission (SEC) adopted its final rule (the Family Office Rule) under the Investment Advisers Act of 1940 (the Advisers Act) defining the term “family office” for purposes of the...more

SEC Adopts Rule Defining “Family Office”

by Miller & Martin PLLC on 8/18/2011

The Securities and Exchange Commission (the “SEC”) recently adopted a final rule (the “Rule”) defining “family offices” that are to be excluded from the definition of an investment adviser and corresponding registration...more

Family Office Exemption Narrowly Defined by S.E.C.

by Thomas J. Handler, J.D., P.C. on 7/15/2011

Following the stock market crash of 1929 and the Great Depression which followed, Franklin D. Roosevelt’s 1932 democratic campaign platform called for regulation of the securities exchanges “to the full extent of federal...more

SEC Adopts Final Rules for RIA Registration

by Steven Thayer on 6/7/2011

On June 23, 2011, the Securities Exchange Commission (“SEC”) promulgated Final Rule 275.202(a)(11)(G)-1 (“Final Rule”) defining the term “family offices” for purposes of excluding certain family offices from the registration...more

Audit Committees' Responsibilities and Liability

by Kristin Yokomoto on 3/1/2003

In the wake of Enron’s collapse, audit committee members are subject to enhanced responsibilities and liabilities, and the SEC and other regulators are conducting more investigations of the actions of directors and officers....more

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Securities Law › Business Organization › Wills, Trusts, & Estate Planning

Family Office Relief from CPO Registration

Using the Reg. S Exemption for Foreign Investors

Using Finders to Locate Investors – Bruce E. Methven

The Anglo-American Trust is Powerful and Nimble, but not a Magician

The SEC Proposed Rule 506(c) To Permit General Solicitation

The SEC Proposed Rule 506(c) To Permit General Solicitation

Are REITS Investment Advisers?

The Commodity Futures Trading Commission Rescinds a Common Family Office Exemption

Handler Thayer Family Office Alert - The Commodity Futures Trading Commission Rescinds a Common Family Office Exemption

Congress Opens the Door to More Small Company Offerings

Congress Opens the Door to More Small Company Offerings

Crowd Funding Bills Stall in Congress

The Academics Are Just Plain Wrong: The Trust Is Not a Contract

Corporate and Financial Weekly Digest - October 21, 2011

SEC Adopts Final Definition of “Family Offices” Exempt From Investment Advisers Act

SEC Adopts Rule Defining “Family Office”

Family Office Exemption Narrowly Defined by S.E.C.

SEC Adopts Final Rules for RIA Registration

Audit Committees' Responsibilities and Liability

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