FacultyFaculty/Author Profile
Sandra M. Rocks

Sandra M. Rocks

Cleary Gottlieb Steen & Hamilton LLP

New York, NY, USA


Sandra M. Rocks’ practice focuses on commercial financing, including secured transaction and bankruptcy law.

Sandra joined the firm in 1980 and became counsel in 1990.

Selected Activities

  • Serves on the TriBar Committee on Legal Opinions and participated in the preparation of TriBar’s original and updated reports on security interest opinions under Article 9 of the Uniform Commercial Code (UCC)
  • Former Chair, Task Force on Cleared Swaps of the American Bar Association Business Law Section UCC Committee; former Co-chair, Investment Securities Sub-Committee of the UCC Committee (two nonconsecutive terms); and former Chair, International Commercial Law Subcommittee of the UCC Committee
  • ABA Liaison-Advisor to the Permanent Editorial Board of the Uniform Commercial Code, 2005 to 2008
  • Served on the Subcommittee on Investment Securities’ Task Force on Proposed Treasury Regulations Governing Book-Entry Securities, which studied and provided comments to the U.S. Department of the Treasury on regulations governing book-entry Treasury securities
  • Participated on behalf of EMTA (formerly the Emerging Markets Traders Association) in UNIDROIT projects to create Netting Principles (finalized May 2013) and the Convention on Substantive Rules for Intermediated Securities (finalized October 2009), also acting as a co-coordinator for the private financial sector for UNIDROIT's Study Group on this project, and in the development by The Hague Conference on Private International Law on the Law Applicable to Certain Rights in Respect of Securities Held with Intermediaries (finalized December 2002)
  • Member, Subcommittee on Legal Issues of the Group of 30 Global Monitoring Committee, 2005
  • Participated as an industry expert in connection with the United Nations Convention on the Assignment of Receivables in International Trade (finalized in 2004)
  • Member of the Securities and Exchange Commission's Market Transactions Advisory Committee, established to advise ways in which to reduce risk in the efficient clearance and settlement of market transactions; chaired the bankruptcy subcommittee of that group, which issued its final report in 1997
  • Member of the executive committee of the board of directors of Susquehanna University
  • Member of the executive committee of the board of directors of Hazon
  • Member of the American Law Institute and a member of the American College of Commercial Finance Lawyers

Publications

  • “The ABCs of the UCC, Article 8: Investment Securities,” The American Bar Association Second Edition, January 2015 (co-author with Carl Bjerre).
  • “Survey of International Commercial Law Developments,” The Business Lawyer’s August editions, 2001 to 2004 (co-author).

Events

November 13, 2012
Perfecting Security Interests in Deposit Accounts, Securities Accounts and Other Investment Property

March 23, 2012
ABA Business Law Section 2012 Spring Meeting

Areas Of Experience

Honors and Distinctions

IFLR 1000 The Guide to the Worlds Leading Financial Law Firms

IFLR 1000: The Guide to the World’s Leading Financial Law Firms

Guide to the Worlds leading Banking Lawyers

Guide to the World’s Leading Banking Lawyers

Education

Columbia Law School
J.D.
1979

Susquehanna University
B.A.
summa cum laude
1975

Bar Admissions

New York
U.S. Court of Appeals for the Sixth Circuit

Sandra M. Rocks is associated with the following items:
Web Segment  Web Segment Hague Securities Convention - Secured Transactions 2017: What Lawyers Need to Know About UCC Article 9, Friday, January 13, 2017
MP3 Audio  MP3 Audio Hague Securities Convention - Hague Securities Convention, Friday, January 13, 2017
Getting Ready for the Hague Securities Convention , Wednesday, January 18, 2017
Transcripts  Transcripts Hague Securities Convention - Hague Securities Convention, Friday, January 13, 2017
Getting Ready for the Hague Securities Convention - Getting Ready for the Hague Securities Convention , Tuesday, January 24, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg Hague Securities Convention - Hague Securities Convention, Friday, January 13, 2017
Audio Only On-Demand Web  Audio Only On-Demand Web Getting Ready for the Hague Securities Convention - Getting Ready for the Hague Securities Convention , Tuesday, January 24, 2017
On-Demand Web Programs  On-Demand Web Programs Secured Transactions 2017: What Lawyers Need to Know About UCC Article 9, Wednesday, January 25, 2017, New York, NY
Live Seminar  Live Seminar Secured Transactions 2018: What Lawyers Need to Know About UCC Article 9, Wednesday, January 10, 2018, New York, NY
Live Webcast  Live Webcast Secured Transactions 2018: What Lawyers Need to Know About UCC Article 9, Wednesday, January 10, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Secured Transactions 2018: What Lawyers Need to Know About UCC Article 9, Wednesday, January 10, 2018, Mechanicsburg, PA
Secured Transactions 2018: What Lawyers Need to Know About UCC Article 9, Wednesday, January 10, 2018, Pittsburgh, PA
Secured Transactions 2018: What Lawyers Need to Know About UCC Article 9, Wednesday, January 10, 2018, New Brunswick , NJ
Secured Transactions 2018: What Lawyers Need to Know About UCC Article 9, Wednesday, January 10, 2018, Philadelphia, PA
Secured Transactions 2018: What Lawyers Need to Know About UCC Article 9, Wednesday, January 10, 2018, Cleveland, OH
Secured Transactions 2018: What Lawyers Need to Know About UCC Article 9, Wednesday, January 10, 2018, Nashville, TN
Secured Transactions 2018: What Lawyers Need to Know About UCC Article 9, Wednesday, January 10, 2018, Atlanta, GA
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