Christine McKillip – Chapman and Cutler LLP

111 West Monroe Street
Greater Chicago Area, Illinois 60603, United States

The Broker Trap: When Networking Goes Bad

The truism “it’s not what you know, it’s who you know” sums up the availability of capital for most businesses. Networking is often essential to the survival of small businesses looking for money or an exit plan through a…more
| Commercial Law & Contracts, Mergers & Acquisitions, Securities Law

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
| Business Organizations, Family Law, Finance & Banking, Securities Law, Taxation

Comments on Proposed Rule Eliminating the Prohibition against General Solicitation and General Advertising Rule 506 and Rule 144A Offerings—File No. S7-07-12

Handler Thayer, LLP (the “Firm”) is submitting this letter in response to the Securities and Exchange Commission’s (the “Commission”) request for comments to amend Rule 506 of Regulation D (“Rule 506”) under the Securities Act…more
| Business Organizations, Finance & Banking, Securities Law

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

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
| Business Organizations, Finance & Banking, Mergers & Acquisitions, Securities Law, Wills, Trusts, & Estate Planning

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

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
| Business Organizations, Finance & Banking, Securities Law, Wills, Trusts, & Estate Planning

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
| Business Organizations, Commercial Law & Contracts, Family Law, Finance & Banking, Securities Law

Crowdfunding - Update

After months of sitting on the sidelines, the United States Senate (“Senate”) passed an amended version of the Entrepreneur Access to Capital Act (“EACA”). Although the passage of the amended bill moves crowdfunding one step…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Crowdfunding – One Step Forward, One Step Back

The United States House of Representatives (the “House”) continues to pursue crowdfunding legislation despite some opposition in the United States Senate (“Senate”). On March 8, 2012, the House passed the Jumpstart Our Business…more
| Commercial Law & Contracts, Finance & Banking, Securities Law

Congress Opens the Door to More Small Company Offerings

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 real…more
| Business Organizations, Finance & Banking, Securities Law, Wills, Trusts, & Estate Planning

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 and…more
| Family Law, Securities Law, Wills, Trusts, & Estate Planning

Crowd Funding Bills Stall in Congress

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
| Business Organizations, Commercial Law & Contracts, Finance & Banking, Securities Law

Crowd Funding Bills Stall in Congress

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
| Business Organizations, Finance & Banking, Securities Law, Wills, Trusts, & Estate Planning

SEC Reaffirms Position with Respect to RIA Registration for Special Purpose Vehicles

On January 19, 2012, the Division of Investment Management of the Securities and Exchange Commission (the “Staff” or the “SEC”) reaffirmed its position in its December 8, 2005, response to the American Bar Association no-action…more
| Business Organizations, Electronic Discovery, Securities Law
Areas of Practice
  • Finance & Banking
  • Securities Law
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