David B. Harms
David Harms advises clients on securities and corporate law matters, particularly with regard to capital markets transactions, SEC requirements, corporate governance and broker-dealer regulation. He represents issuers (U.S. and non-U.S.) and underwriters in SEC-registered and exempt offerings, including private capital raising, and provides advice on corporate disclosure and governance, securities trading and research practices and equity derivatives. He also represents broker-dealers with regard to SEC, NASD and NYSE investigations and advises them on registration and compliance matters. Formerly co-head of S&C’s General Practice Group, Mr. Harms serves as co-coordinator of the Firm’s securities finance practice and as coordinator of the broker-dealer regulation practice.
Mr. Harms served as co-chairman of the Annual Institute of Securities Regulation, sponsored by the Practising Law Institute, from 2003-2007. Before joining the Firm, Mr. Harms clerked for Judge Edward Weinfeld in the Southern District of New York and served as editor-in-chief of the NYU Law Review.
1984, New York University School of Law, J.D.
1978, State University of New York at Purchase, B.A.