Securities Family Law

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Opting To Learn About Stock Options In A Divorce

Many businesses choose to reward their employees with stock options in lieu of other forms of compensation. Frequently, these options are not vested when awarded, but rather vest over time....more

The confusion being engendered by the Uniform Trust Code’s default trust-revocation methodologies (§ 602(c)).

In the pre-Uniform Trust Code UTC), unless the terms of a revocable inter vivos trust provided otherwise, the trust could not have been revoked by the settlor’s will. A will speaks at the time of the testator’s death, an...more

Discerning the true settlor of a trust

The person designated in the terms of a trust as its settlor (creator) may not necessarily be its true settlor (creator). Appearances are often deceiving in the world of the trust. Charles E. Rounds, Jr. explains in §8.43 of...more

The Treasury Department and the IRS Implement Windsor and Adopt “State of Celebration” Rule: Compensation and Benefits...

On August 29, 2013, the Treasury Department and the IRS issued Revenue Ruling 2013-17 (“Rev. Rul. 2013-17”) and updated Answers to Frequently Asked Questions for Individuals of the Same Sex Who Are Married Under State Law...more

The Honeymoon Is Over: Post-DOMA, Same-Sex Couples Now Spouses For Purposes Of The Securities And Exchange Act Rules

The Supreme Court in U.S. v. Windsor held that the federal Defense of Marriage Act’s (DOMA) section defining marriage as between a man and woman is unconstitutional because it violates the Fifth Amendment’s equal protection...more

Crowdfunding 101: What Is It? And Should I Be Excited About it? PART 1

Ever since the passage of the JOBS Act (the Jumpstart Our Business Startups Act), there’s been a lot of hype about crowdfunding. A lot of startups have built their entire business model on the assumed ability to use...more

Supreme Court Rules DOMA Unconstitutional – Securities Law And Corporate Finance Implications

On June 26, 2013, the U.S. Supreme Court, in U.S. v. Windsor, ruled that Section 3 of the Defense of Marriage Act (DOMA) is unconstitutional because it violates the Fifth Amendment’s equal protection guaranty for persons of...more

CTFC Reinstates Family Office Exception

On November 29, 2012, the Commodity Futures Trading Commission (the “CFTC”) released a blanket No-Action Letter providing relief from registration as a Commodity Pool Operator (“CPO”) to family offices that qualify for the...more

CTFC Reinstates Family Office Exception

On November 29, 2012, the Commodity Futures Trading Commission (the “CFTC”) released a blanket No-Action Letter providing relief from registration as a Commodity Pool Operator (“CPO”) to family offices that qualify for the...more

CTFC Reinstates Family Office Exception

On November 29, 2012, the Commodity Futures Trading Commission (the “CFTC”) released a blanket No-Action Letter providing relief from registration as a Commodity Pool Operator (“CPO”) to family offices that qualify for the...more

Appellate Division Review: Fine-Tuning the Law in Business, Family, Government

Originally published in The New York Law Journal, October 19, 2012. “I wear my reversals like badges of honor,” a trial judge once remarked when discussing his (largely positive) record on appeal. Based on our review of...more

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

Handler Thayer Commercial Alert - The JOBS Act: A Revolutionary Opportunity On Hold

On April 5, 2012, President Obama signed the Jumpstart Our Business Startups Act (the “JOBS Act”) into law. The JOBS Act encompasses several significant changes to the federal securities laws, providing a proverbial facelift...more

Corporate Law and Family Law at the Crossroads: Spouses as Shareholders in Canada 2012

Small and medium sized businesses are the engines which drive the North American economy. Increasingly, people go in to their own business. Often spouses and other family members are in business together. Because of...more

SEC Revises "Qualified Client" Definition

On February 15, 2012, the Securities and Exchange Commission (the “SEC”) released its final rule regarding Investment Adviser Performance Compensation (the “Rule”) pursuant to Section 418 of the Dodd-Frank Wall Street Reform...more

Regression Models and Discount for lack of Marketability

Recent publication of the Discount for Lack of Marketability(DLOM) Job aid for IRS Valuation Professionals has brought fresh scrutiny to the various methods used by valuation practitioners for determining discount for lack of...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

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

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 Proposes Rule to Exclude Family Offices from Regulation as Investment Advisers

The Securities and Exchange Commission has proposed Rule 202(a)(11)(G)-1 under the Investment Advisers Act of 1940, as amended (Advisers Act), to define “family offices” that would be excluded from the definition of...more

SEC's Proposed "Family Office" Rule and Rule 260.204.9

In The Snows of Kilimanjaro, Ernest Hemingway wrote: “„The very rich are different from you and me.? And how someone had said to Julian, „Yes, they have more money.?” That is certainly true in the case of the families...more

Lawyer's Weekly: Effectively manage your practice online by leveraging technology

A case study of how the Law Offices of Place & Hanley, LLC, leverages technology to effectively manage their cases in securities and commodities litigation, family law, wills and trusts....more

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