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Securities Laws and Estate Planning: Where Do the Roads Cross?

If you're an estate planner, you're probably not an expert in securities laws. But you may have clients who are of publicly held companies or who own restricted securities and these clients may be subject to federal securities laws and have certain reporting obligations or disclosure requirements that could impact how you structure their estate-planning transactions. Before you develop gifting, sales

If you're an estate planner, you're probably not an expert in securities laws. But you may have clients who are “insiders” of publicly held companies or who own restricted securities — and these clients may be subject to federal securities laws and have certain reporting obligations or disclosure requirements that could impact how you structure their estate-planning transactions. Before you develop gifting, sales or transfer strategies for such clients, avoid the unintended consequences of

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