Find Lawyers in Portland, Oregon for Securities Regulation
Jim Kearney is a partner in Stoel Rives’ Corporate practice group and chairs the firm’s Public Companies subgroup. Jim represents and advises public and private company clients on mergers and acquisitions, public and private debt and equity financings, corporate governance, federal and state securities regulation, periodic reporting to the Securities and Exchange Commission, general business transactions and general corporate matters.
David Matheson, a partner in the firm’s Business practice, brings value to clients by providing strategic and practical advice. He has more than 20 years of experience in counseling on corporate governance matters, raising capital through public and private equity and debt offerings, and acquiring and disposing of businesses and assets. David advises domestic and foreign public companies — including controlled companies and master limited partnerships — on their SEC and secu...
Tom serves as Chair of the firm's Corporate Finance practice group. His practice emphasizes securities and general corporate matters, including mergers and acquisitions, public offerings and private placements. General corporate counseling—including representation of special committees of directors, corporate governance issues, and SEC reporting and disclosure matters—is an important part of his practice. Tom's recent transactions include: Representation of placement agent in $14....
Roy Tucker is an experienced business counselor and advisor who focuses his practice on public offerings, mergers and acquisitions, securities compliance and corporate governance and restructurings. Roy has represented issuers and underwriters in numerous public offerings and regularly advises corporate clients and private equity firms on mergers, asset sales and leveraged buyouts.
Will Goodling, a corporate attorney in Stoel Rives’ Portland office, advises businesses on their strategic transactions and has significant experience in mergers and acquisitions. Will’s corporate practice also includes counseling clients on equity financings, corporate governance, equity compensation and securities law compliance, including for publicly traded companies. In addition to his corporate practice, Will counsels clients on antitrust matters, including advice regarding ...
Securities Regulation Definition
Clients also need advice in investigations and enforcement actions concerning possible violations of the securities laws. These investigations may be conducted by the SEC, by state securities commissions or attorneys general, FINRA and other self-regulatory organizations (including, for accounting firms, the PCAOB), and federal or state criminal prosecutors. Securities regulatory lawyers may represent individuals or entities in these inquiries, and must often coordinate with other law firms in industry-wide investigations. Securities regulatory lawyers conduct internal investigations for companies or their boards of directors as well as regulatory entities, including individual, class, and derivative actions, and in arbitrations before FINRA, JAMS, AAA, and international arbitration forums.
Securities regulatory lawyers must understand the relevant legal and regulatory issues and the different products and services subject to securities regulation. These products and services include common and preferred stock; corporate, government, agency, municipal and convertible bonds; open-end and closed-end mutual funds; exchange-traded funds and notes; structured products; asset-backed securities; private funds; separately managed accounts; variable annuities; 529 plans; warrants; options; futures; swaps; commodity pools; bank collective trust funds; and insurance separate accounts. Securities regulatory lawyers also must understand the roles of floor-based and electronic exchanges, dark pool and other alternative trading systems, over-the-counter, "upstairs" and private placement markets, the clearance and settlement utilities, and the rules relating to all of these markets. Securities regulatory lawyers must understand how to conduct cross-border transactions consistent with the laws and regulations of the relevant jurisdictions. Finally, securities regulatory lawyers must stay current on legal, regulatory, and enforcement developments of the SEC, CFTC, FINRA, MSRB, PCAOB, the securities and futures exchanges, the states, and, post-Dodd-Frank, the Federal Reserve Board, FSOC, and other banking regulators.
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