Thomas Lauerman handles corporate and investment law matters, including public and private offerings of securities and other regulatory matters. He frequently advises financial firms concerning the development, marketing, and operation of mutual fund, fixed and variable annuity, variable life, indexed insurance, investment advisory, and other financial products and services.
He counsels clients on disclosure and regulatory issues, and guides them through planning and implementing strategies to achieve SEC compliance for financial products and services that are often new or innovative.
Tom consults and negotiates with the SEC staff on behalf of clients, and handles SEC no-action requests, registration statements, exemptive applications, and other filings. He also negotiates and structures contracts and other documentation in connection with securities offerings, products, and services.
Tom served on the staff of the SEC division that regulates mutual funds, ETFs, life insurance company investment products, and investment advisers. In that capacity, he was one of a small team of attorneys responsible for a congressionally mandated three volume SEC study and report on the securities activities of commercial banks. He also was the author of a major SEC rule proposal dealing with “soft dollar” brokerage practices.
- University of Virginia School of Law (J.D., 1973)
- Yale University (B.A., cum laude, 1970)
Professional & Community Involvement:
- Member, American Bar Association
- Business Law Section and Committee on Securities Regulation
Rate : $$$$