Securities Law, Family Law

CTFC Reinstates Family Office Exception

by Christine McKillip on 12/5/2012

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

by Thomas J. Handler, J.D., P.C. on 12/5/2012

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

by Thomas J. Handler, J.D., P.C. on 12/5/2012

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

by Pillsbury Winthrop Shaw Pittman LLP on 11/6/2012

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

by Allen Matkins Leck Gamble Mallory & Natsis... on 5/3/2012

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

by Christine McKillip on 4/5/2012

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

by Ellyn Law LLP on 3/27/2012

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

by Christine McKillip on 2/17/2012

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

by Ashok Abbott on 2/15/2012

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

by Morrison & Foerster LLP on 10/17/2011

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.

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 Proposes Rule to Exclude Family Offices from Regulation as Investment Advisers

by Katten Muchin Rosenman LLP on 10/28/2010

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

by Allen Matkins Leck Gamble Mallory & Natsis... on 10/14/2010

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

by Clio on 8/31/2009

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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Securities Law › Family Law

CTFC Reinstates Family Office Exception

CTFC Reinstates Family Office Exception

CTFC Reinstates Family Office Exception

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

When Asking For Spousal Consent Is Unlawful

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

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

SEC Revises "Qualified Client" Definition

Regression Models and Discount for lack of Marketability

Legislative Proposals to Facilitate Small Business Capital Formation

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

SEC Proposes Rule to Exclude Family Offices from Regulation as Investment Advisers

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

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

Expand Your Reach