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Securities Regulation Institute (47th Annual)

 
Author(s): Carmen J. Lawrence, Alan L. Beller, David M. Lynn
Practice Area: Corporate & Securities, Litigation
Published: Nov 2015
PLI Item #: 58828
CHB Spine #: B2205, B2206

Alan L. Beller is a preeminent legal advisor and recognized thought leader regarding securities law, capital markets and corporate governance.

He currently serves in leadership oversight roles for organizations dedicated to long-term quality and stability of capital markets and the best interests of investors and issuers.

Notably, he is a:

—Trustee of the IFRS Foundation, which is responsible for governance and oversight of the International Accounting Standards Board and International Financial Reporting Standards, the global system of accounting standards used in more than 130 countries.

—Member of the Sustainability Accounting Standards Board, which is developing industry-specific sustainability accounting standards that help public companies disclose materials and provide useful information to investors.

He is also a member of the Board of Directors and the Audit and Risk Committees of The Travelers Companies, Inc., a Dow Jones company.

Alan was the Director of the Division of Corporation Finance of the U.S. Securities and Exchange Commission and a Senior Counselor to the Commission from January 2002 until February 2006. During his four-year tenure, he led the Division in producing the most far-reaching corporate governance, financial disclosure and securities offering reforms in SEC history. Among his accomplishments were the implementation of the corporate provisions of the Sarbanes-Oxley Act of 2002, the adoption of the first general corporate governance standards for listed companies and the successful completion of comprehensive securities offering reforms.

During his more than 30 years of experience in private practice with Cleary Gottlieb, Alan has represented companies, independent directors and audit committees in complex corporate governance, securities, corporate, and accounting and auditing matters. He has lectured and written extensively on these and other topics.


Carmen Lawrence is a partner in King & Spalding’s Special Matters and Government Investigations practice group.

Ms. Lawrence's practice focuses on representing parties in investigations and litigations conducted primarily by the US Securities and Exchange Commission, US Commodity Futures Trading Commission, US Department of Justice, self-regulatory organizations and state securities regulators, conducting internal investigations, providing crisis management advice to public and private companies and counseling public companies and regulated entities (broker-dealers and investment advisers) on their obligations under the federal securities laws.

From 1996 until June 2000, Ms. Lawrence was the Regional Director for the SEC's Northeast Regional Office (covering 14 states and the District of Columbia), where she oversaw all enforcement and regulatory operations in the SEC's largest region.  Some of the SEC's most significant cases were brought by the Northeast Regional Office under Ms. Lawrence's leadership.

Before her appointment as regional director, from 1990 through  1995, Ms. Lawrence served as Senior Associate Regional Director, heading up the Northeast Regional Office’s Enforcement Division.  From 1981 to 1989, she served in various staff and senior positions in the Enforcement Division.

Ms. Lawrence has spoken extensively and participates in numerous continuing legal education programs for federal securities law matters.

Memberships

Co-Chair, Sub-Committee on SEC Enforcement and Civil Litigation of the American Bar Association Business Law Section

Trustee, Practising Law Institute

Member, American Bar Association

Member, Federal Bar Council

Trustee, Southern Vermont College

Awards & Recognition

Ms. Lawrence received numerous awards during her tenure at the SEC, including the Equal Employment Opportunity Award in 1998; the Presidential Distinguished Executive Award in 1995; the Stanley Sporkin Award in 1993; and the Irving M. Pollack Award, presented to an enforcement lawyer exhibiting leadership, integrity and intellect, in  1990.

Ms. Lawrence is consistently recognized by Chambers USA: America’s Leading Lawyers for Business as a leading individual for Securities Regulation and for Litigation: White-Collar Crime & Government Investigations.  She is consistently recognized by Legal 500 in Litigation: White-Collar Criminal Defense, and is additionally recognized in Financial Services: Litigation.  She is also consistently recognized by Benchmark: Litigation as a New York Litigation Star. She was named to Securities Docket's inaugural "Enforcement 40" list of top SEC enforcement lawyers in 2013.

Education

J.D., University of Michigan Law School, 1981

B.A., Cornell University, 1978


Co-chair of the firm’s Securities Practice, Mr. Lynn advises public companies, underwriters and other market participants on corporate finance matters and best practices for disclosures and compliance. In addition, Mr. Lynn has unique capabilities in a variety of areas, including disclosure counseling, securities transactions, SEC inquiries and investigations, and securities litigation. In his previous role as chief counsel of the SEC’s Division of Corporation Finance, Mr. Lynn was responsible for, among other things, interpretive policy and guidance, rulemaking, and no-action and exemptive relief. He also advised the Division’s senior management, as well as other Division offices and SEC divisions and offices, on matters related to securities offerings and public reporting. Mr. Lynn’s work involved drastic revisions to the SEC’s executive compensation and “related party” disclosure rules, an area in which he continues to focus, as well as implementation of the SEC’s Sarbanes-Oxley Act of 2002. Mr. Lynn is co-editor of TheCorporateCounsel.net, CompensationStandards.com and The Corporate Counsel. He is a co-author of the “Executive Compensation Disclosure Treatise and Reporting Guide.” A thought leader on topics relating to the federal securities laws, Mr. Lynn is chair of the American Bar Association Business Law Section’s Federal Regulation Securities Committee, and is co-chair of the Practising Law Institute’s Annual Securities Regulation Institute in New York. Mr. Lynn also serves as Chairman of the Board of Trustees of the SEC Historical Society. A Chambers USA-ranked “Band 1” leading lawyer for securities regulation, Mr. Lynn was also named in Best Lawyers for 2017 and rated as a leading lawyer in 2014 by Legal 500 for Capital Markets: Equity Offerings, as well as Capital Markets: Debt Offerings.