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Securities Finance & Banking Family Law

Read need-to-know updates, commentary, and analysis on Securities issues written by leading professionals.

Buy-Sell Agreements in a Divorce (Part 1)

by Ervin Cohen & Jessup LLP on

My prior articles have discussed how to monetize one spouse’s equity interest in a privately held company that has no other owners. However, many businesses are started by two or three partners contributing their ideas,...more

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

by Pepper Hamilton LLP on

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

by Christine McKillip on

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

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

by Christine McKillip on

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

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

by Katten Muchin Rosenman LLP on

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 on

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

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