FacultyFaculty/Author Profile
Thomas J. Kim

Thomas J. Kim

Sidley Austin LLP

Washington, DC, USA


TOM KIM focuses his practice on advising companies, underwriters and boards of directors on SEC regulatory and reporting issues, registered and exempt capital markets transactions, and corporate governance, as well as on general corporate and securities matters. Tom has been recognized by Chambers USA: America's Leading Lawyers for Business in the area of Securities: Regulation: Advisory since 2015, where Chambers noted that he is “well respected for his regulatory expertise and is often sought after by public companies and their boards of directors, as well as underwriter clients, to advise on complex SEC reporting and corporate governance issues.”  For 2017, Chambers noted that “the ‘top-notch’ Thomas Kim ‘continues to impress’ market commentators for his work as an expert adviser on securities compliance.”

Prior to joining Sidley in 2013, Tom served for six years as the Chief Counsel and Associate Director of the Division of Corporation Finance at the SEC. As Chief Counsel, Tom was responsible for the no-action, interpretive and exemptive positions taken by the Division on a wide range of matters, including Securities Act exemptions, the registration process, Rule 144, and a broad range of Exchange Act issues, including deregistration, succession, Section 16, proxy solicitation and shareholder proposal rules, and executive compensation disclosure, among others. Under his leadership, the Chief Counsel’s Office revised and updated the Division’s telephone interpretations as Compliance and Disclosure Interpretations and issued several significant Staff Legal Bulletins. Tom also led a number of notable SEC rulemakings and policy initiatives, including eliminating the prohibition on general solicitation in Securities Act Rules 506 and 144A offerings, and the interpretive release on the use of company websites. 

Tom also oversaw the Division’s Office of Enforcement Liaison, which refers matters to the Division of Enforcement and advises on offering and disclosure-related issues in enforcement cases. 

Prior to joining the SEC in 2006, Tom served as Corporate and Securities Counsel for the General Electric Company in Fairfield, CT.

Tom currently chairs the ABA’s Disclosure Effectiveness Working Group, which is working with the SEC on the disclosure reform initiative led by the Division of Corporation Finance. He also currently chairs the ABA’s Subcommittee on Securities Law Opinions. As a member of the ABA’s Committee on Corporate Laws, Tom edited several editions of the ABA’s Corporate Director’s Guidebook. He is a frequent speaker at securities law conferences, including programs sponsored by the Practising Law Institute, the American Bar Association, the Society for Corporate Governance and the National Association of Corporate Directors. He is the new Vice Chair of the Northwestern Law School Annual Securities Regulation Institute held in San Diego. He has been named to the NACD Directorship 100 since 2015.

Thomas J. Kim is associated with the following items:
Web Segment  Web Segment Overview of 4(a)(2) and Regulation D - Private Placement and Hybrid Securities Offerings 2017, Wednesday, May 24, 2017
The Relaxation of the Prohibition on General Solicitation of Private Offerings - Private Placement and Hybrid Securities Offerings 2017, Wednesday, May 24, 2017
Focus on Disclosure: Regulatory Action and Practical Considerations - 49th Annual Institute on Securities Regulation, Monday, November 13, 2017
MP3 Audio  MP3 Audio The Relaxation of the Prohibition on General Solicitation of Private Offerings - The Relaxation of the Prohibition on General Solicitation of Private Offerings, Wednesday, May 24, 2017
Overview of 4(a)(2) and Regulation D - Overview of 4(a)(2) and Regulation D, Wednesday, May 24, 2017
Focus on Disclosure: Regulatory Action and Practical Considerations - Focus on Disclosure: Regulatory Action and Practical Considerations, Monday, November 13, 2017
Transcripts  Transcripts Overview of 4(a)(2) and Regulation D - Overview of 4(a)(2) and Regulation D, Wednesday, May 24, 2017
MP4 - Mobile Video Seg  MP4 - Mobile Video Seg The Relaxation of the Prohibition on General Solicitation of Private Offerings - The Relaxation of the Prohibition on General Solicitation of Private Offerings, Wednesday, May 24, 2017
Overview of 4(a)(2) and Regulation D - Overview of 4(a)(2) and Regulation D, Wednesday, May 24, 2017
Focus on Disclosure: Regulatory Action and Practical Considerations - Focus on Disclosure: Regulatory Action and Practical Considerations, Monday, November 13, 2017
On-Demand Web Programs  On-Demand Web Programs Private Placement and Hybrid Securities Offerings 2017, Friday, May 26, 2017, New York, NY
49th Annual Institute on Securities Regulation, Sunday, December 03, 2017, New York, NY
SECI Live Seminars  SECI Live Seminars 33rd Annual SEC Reporting & FASB Forum, Monday, December 18, 2017, New York, NY
SECI Live Web - Seminar  SECI Live Web - Seminar 33rd Annual SEC Reporting & FASB Forum, Monday, December 18, 2017, New York, NY
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