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James Lopez

U.S. Securities and Exchange Commission
Legal Branch Chief, Disclosure Operations, Division of Corporation Finance
Washington, DC, USA


James Lopez is the Legal Branch Chief in one of 12 Assistant Director Offices in the Division of Corporation Finance at the U.S. Securities and Exchange Commission. Mr. Lopez helps oversee and coordinate the review process of filings by companies in the beverages, apparel, and mining industries. The review process helps companies in their compliance with the applicable disclosure and filing requirements under the Securities Act of 1933 and the Securities Exchange Act of 1934. From 2002 to 2005, Mr. Lopez was an associate with the law firm of Wilmer Hale. Mr. Lopez earned a B.A. from Ohio University and received his J.D. from The University of Cincinnati where he was an associate member of the University of Cincinnati Law Review.
James Lopez is associated with the following items:
Course Handbooks  Course Handbooks Understanding the Securities Laws 2012 , New York, NY
Web Segment  Web Segment Registering Securities Under the Securities Act of 1933 - Understanding the Securities Laws 2012 , Monday, December 17, 2012
Workshop A (Corporation Finance) - The SEC Speaks in 2013 , Monday, February 25, 2013
MP3 Audio  MP3 Audio Understanding the Securities Laws 2012: Registering Securities Under the Securities Act of 1933 - Registering Securities Under the Securities Act of 1933 , Tuesday, December 18, 2012
The SEC Speaks in 2013: Workshop A (Corporation Finance) - Workshop A (Corporation Finance) , Thursday, February 28, 2013
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Understanding the Securities Laws 2012: Registering Securities Under the Securities Act of 1933 - Registering Securities Under the Securities Act of 1933 , Tuesday, December 18, 2012
The SEC Speaks in 2013: Workshop A (Corporation Finance) - Workshop A (Corporation Finance) , Thursday, February 28, 2013
On-Demand Web Programs  On-Demand Web Programs Understanding the Securities Laws 2012 , Thursday, December 27, 2012 , New York, NY
The SEC Speaks in 2013 , Saturday, March 09, 2013 , Washington, DC
Live Seminar  Live Seminar Understanding the Securities Laws 2013 , Thursday, December 12, 2013 , New York, NY
Understanding the Securities Laws 2012 , Wednesday, December 12, 2012 , New York, NY
The SEC Speaks in 2013 , Friday, February 22, 2013 , Washington, DC
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