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Global Capital Markets & the U.S. Securities Laws 2013: Raising Capital in an Evolving Regulatory Environment

Author(s): Paul M. Dudek, David M. Lynn
Practice Area: Corporate & Securities
Published: Jun 2013
ISBN: 9781402420184
PLI Item #: 41389
CHB Spine #: B2034

David M. Lynn is a partner in the Washington D.C. Office of Morrison & Foerster, and is co-chair of the firm’s Corporate Finance practice. Mr. Lynn is a highly respected securities advisory counsel who provides guidance to Fortune 100 corporations, small public companies, underwriters and other market participants on corporate finance matters and best practices for disclosures and compliance. In addition to being a leading authority on SEC issues, Mr. Lynn is particularly well known in the area of executive compensation disclosure, having co-authored, “The Executive Compensation Disclosure Treatise and Reporting Guide.”

While serving as Chief Counsel of the Securities and Exchange Commission’s Division of Corporation Finance, Mr. Lynn led the rulemaking team that drafted revisions to the SEC's executive compensation and related party disclosure rules. Mr. Lynn re-joined the SEC as Chief Counsel shortly after adoption of the Sarbanes-Oxley Act of 2002, and served in that position until 2007. As a result, he was intimately involved in implementing and interpreting the SEC rulemaking that occurred in the wake of the Sarbanes-Oxley Act. Mr. Lynn initially served on the SEC staff from 1995-2000 as an Attorney-Advisor and subsequently a Special Counsel in the Division of Corporation Finance.  While in private practice from 2000-2003, he advised clients on SEC investigations, securities transactions, mergers and acquisitions and corporate governance.

Mr. Lynn is co-editor of and The Corporate Counsel, which are widely read sources on securities, governance and corporate law matters. Mr. Lynn also serves as chair of the American Bar Association Business Law Section’s Federal Regulation of Securities Committee, co-chair of the Practising Law Institute’s Annual Institute on Securities Regulation and chairman of the Board of Trustees of the Securities and Exchange Commission Historical Society.

Mr. Dudek has been Chief of the Office of International Corporate Finance at the U.S. Securities and Exchange Commission since 1993.  He joined that office as an Attorney Fellow in 1990.  Prior to that, he was with the New York Office of Cleary, Gottlieb, Steen & Hamilton where his practice involved representing a wide range of foreign and U.S. companies and financial intermediaries in capital markets transactions.

Mr. Dudek is a graduate of the New York University School of Law (Order of the Coif) and Fordham University (Phi Beta Kappa).  Mr. Dudek has received the SEC’s Philip A. Loomis, Jr. Award and as a team member the SEC Chairman’s Award for Excellence and (twice) the SEC’s Regulatory Simplification Award.  Mr. Dudek has served as an Adjunct Professor of Law of Georgetown University School of Law and at the Osgoode Hall Law School of York University (Toronto), teaching courses on global securities offerings.  He has taught classes at Duke University Law School and the Center for Transnational Legal Studies (London). 

Mr. Dudek serves as a U.S. representative to the Corporate Governance Committee of the OECD.  He serves as co-moderator of PLI’s Global Capital Markets held annually in the spring in New York City.  He has spoken at numerous legal and finance conferences, including testimony in 2010 before the U.S.-China Economic and Security Review Commission and presentations at the Asia-Pacific Economic Co-operation (APEC) 2011 Annual Conference in Washington, D.C., the 2010 Initial Public Offering Conference in Istanbul hosted by the Capital Markets Board of Turkey, and the 2011 Conference on Capital Market Oversight in the Caribbean and Latin America hosted by the Securities and Exchange Commission of Trinidad & Tobago.