Emerging Issues in the SEC: Proposed Amendments to the Exchange Act Rules – A 2015 Perspective

James R. Burns is a partner in Willkie’s Asset Management Group, focusing on counseling investment managers, broker-dealers, self-regulatory organizations, and other registered entities on regulatory, compliance and enforcement matters. Prior to joining Willkie, Jim served most recently as Deputy Director of the SEC’s Division of Trading and Markets and previously as Deputy Chief of Staff and Counsel to Chairman Mary Schapiro.  He was an adviser to Commissioner Kathy Casey and worked for many years on enforcement and regulatory matters in the securities practice at a leading law firm.  He brings an acute knowledge and understanding of the equity, fixed income, and derivatives markets, having played an integral role in the development of current SEC positions and regulatory initiatives affecting those areas. Through his experience, he  is able to provide clients, including asset managers, broker-dealers, and other registrants -- with insights into current issues in SEC examination and enforcement contexts, as well as strategic advice on the effects of SEC initiatives on their business operations and compliance programs.

As a Corporate partner with Olshan, Ken is highly knowledgeable in the area of SEC reporting requirements and regulations.

Leveraging his extensive experience in securities law, Ken assists clients in fulfilling their SEC reporting requirements (including those falling under Section 16 of the Securities Exchange Act of 1934 and Rule 144 of the Securities Act of 1933) and other public company obligations. He also represents public and private companies in mergers and acquisitions, and in asset purchase and stock purchase transactions.

Ken has substantial general corporate experience as well, including the negotiation and drafting of employment, stockholder, partnership, and operating agreements.

Additionally, Ken has represented underwriters and placement agents in connection with public and private offerings, and public companies in connection with initial public offerings, secondary public offerings, regulatory compliance, corporate governance and securities law issues.

Sarah Hewitt is chair of Schnader Harrison Segal & Lewis LLP’s Corporate and Finance Practice Group. She represents public and private companies, including emerging companies, family businesses, women and minority-owned businesses and nonprofit corporations, in the areas of corporate and securities law, private equity and venture capital financing, mergers and acquisitions, corporate governance, and general corporate counseling. She has also represented borrowers and lenders in secured and unsecured financing transactions, including asset-based loan transactions. She advises clients in a wide range of industries, including art, energy, financial services, gaming, mining, services, software, technology, and telecommunications.

Ms. Hewitt counsels issuers, underwriters, and investors, as well as directors, executive officers, and shareholders, in a wide variety of matters including SEC registration and periodic reporting requirements, as well as stock exchange rules and regulations, public and private securities offerings, joint ventures and strategic alliances and corporate acquisitions, divestitures, restructurings and reorganizations.