Steven Thayer – Handler Thayer, LLP

191 N. Wacker Drive, 23rd Floor
Chicago, IL 60606, United States

  • 312-641-2100
  • 312-641-6866

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 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
| Administrative Law, Business Organizations, Commercial Law & Contracts, 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 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, Securities Law

SEC Adopts Final Rules for RIA Registration

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
| Business Organizations, Securities Law, Wills, Trusts, & Estate Planning
Areas of Practice
  • Business Organizations
  • Commercial Law & Contracts
  • Securities Law
  • Wills, Trusts, & Estate Planning
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