Sam represents issuers and market participants in domestic and cross-border securities transactions, including public, private, offshore and secondary offerings and resale transactions. Sam has substantial experience advising issuers and other market participants regarding exempt cross-border securities offerings and resale transactions. He advises issuers and market participants with respect to trading issues and disclosure and securities compliance matters arising under the federal securities laws.
Sam is a former member of the SEC staff, where he served for three years in the Division of Corporation Finance. He was a member of the Chief Counsel’s Office of the Division of Corporation Finance, and later, as deputy chief of the Office of International Corporate Finance, served as co-draftsperson of the SEC’s Rule 144A and Regulation S rulemaking proposals.
Sam has co-authored over 20 books in a series entitled Emerging Trends in Securities Law. He is also co-author and co-editor of three multi-volume legal treatises on the law of securities regulation and international capital markets.
Sam served as chair of the International Securities Law Committee of the Corporation, Finance and Securities Law Section of the DC Bar from 2008–2010. He completed a four-year term as a member of the National Adjudicatory Council of FINRA.
Sam was awarded a doctoral degree from the University of Wisconsin School of Law for his work involving international securities regulation. He was a post-doctoral fellow (in absentia) at Yale University Graduate School and has studied at the London School of Economics.
Sam’s experience includes assisting with the following matters: