REPRESENTATIVE EXPERIENCE
Steve regularly represents national and regional financial services organizations in connection with the following:
- Establishing and operating public and private open- and closed-end investment funds.
- Advising on compliance with, and exemptions from, the Investment Company Act of 1940.
- Assisting clients with the organization and day-to-day operation of investment advisers and broker-dealers.
- Structuring and operating Section 529 college tuition savings plans, including tax and securities law advice and contract negotiation.
- Advising on the design and implementation of a variety of investment-oriented insurance products, including SEC-registered and unregistered variable life insurance and annuity products.
- Advising on SEC investigations.
PROFESSIONAL HONORS AND AWARDS
- Recognized by Chambers USA: Guide to Leading Business Lawyers in the area of investment funds - registered funds (2008-2011)
- Named to The Best Lawyers in America in the areas of corporate law (2005-2012), mutual funds law (2005-2012), private funds law (2005-2011), securities law (2005-2011), private funds/hedge funds (2012), securities/capital markets (2012), and securities regulation (2012)
- Selected for inclusion in Washington, D.C., Super Lawyers® (2007-2012)
- Named among Washington’s “Top 10 Dealmakers” by Legal Times magazine (2006)
RECENT PUBLICATIONS AND SPEAKING ENGAGEMENTS
- Commented, “Overlooked Dividend Pays,” Financial Advisor (March 30, 2012)
- “Preparing Corporate Minutes: Time Well Spent,” Securities and M&A Law360 (February 2012)
- “Social Media: A Cautionary Tale,” The Investment Lawyer (January 2012)
- “Keeping it in the Family: Dodd-Frank Exempts Family Offices from the Advisers Act,” The Investment Lawyer, Vol. 18, No. 3 (March 2011)
- “The Ascent of the Hedge Fund CCO and Compliance Program,” Practical Compliance & Risk Management For The Securities Industry (May–June 2009)
- Publicly Traded Private Equity Regulatory Review (April 2009)
- “Beating the Market by Staying Out,” The Investment Lawyer (April 2009)
- “New Path, Same Destination: The Effect of Jones v. Harris Associates on 36(b) Litigation,” The Investment Lawyer (August 2008)
- Publicly Traded Private Equity Regulatory Review (June 2008)
- “Everyman a Venture Capitalist,” Business Law Today, Vol. 17, No. 5 (May/June 2008)
- “The SEC Addresses Eligible Investments for Business Development Companies,” The Investment Lawyer (December 2006)
- "Shedding New Light on Business Development Companies," The Investment Lawyer (October 2004)
- "The Business Development Company Solution," The Review of Securities & Commodities Regulation (February 2001)
- Speaker, "The JOBS Act: A Brave New World for BDC IPOs?" Sutherland Quick Call (May 23, 2012)
- Speaker, “Best Practices for Launching and Managing a BDC,” Capital Roundtable (May 3, 2012)
- Speaker, “BDC Compliance: Understanding the Regulatory Perspective,” Sutherland Quick Call (November 2, 2011)
- Speaker, “BDCs: Understanding Business Development Companies,” REISA 2011 Annual Conference (October 16-18, 2011)
- Speaker, “Life as an SEC Registrant,” Duff & Phelps 4th Annual Alternative Investments Conference (November 11, 2010)
- Chair and Speaker, 2009 BDC Roundtable (September 15-16, 2009)
- Speaker, National Society of Compliance Professionals National Membership Meeting (October 17–19, 2007)
- Chair and Speaker, 2007 BDC Roundtable (September 4–5, 2007)
- Speaker, ALI-ABA Investment Management Regulation Conference (November 30–December 1, 2006)
- Chairman and Speaker, "Governance, Regulatory, and Compliance Issues of BDCs," A Strategic Guide to Business Development Companies: The Latest Re-Emergence of BDCs (November 8, 2004)
- Speaker, National Society of Compliance Professionals National Membership Meeting (October 27–29, 2004)