James M. Harrigan

Counsel

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James M. Harrigan is a corporate lawyer who primarily focuses on federal securities law, including disclosure matters, public and private offerings of equity and debt, and corporate governance. He represents investment banks, hedge funds, private equity funds, investment advisers, and broker-dealers in the US, China, Singapore, Hong Kong, and throughout South East Asia.

Admissions

Bar Admissions

  • District of Columbia
  • Maryland

Education

  • University of Virginia School of Law, J.D.
  • University of Maryland, B.A., History
  • Exchange Act reporting requirements
  • Beneficial ownership reporting requirements pursuant to Section 13 and Section 16 of the Exchange Act
  • Private placements of securities pursuant to Regulation D and Rule 144A under the Securities Act
  • Transactions pursuant to Rule 144 under the Securities Act
  • Equity derivatives transactions
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Alerts and Publications

SEC Expands “Test-the-Waters” Communications Accommodation to All Issuers

October 3, 2019

SEC Proposes Amendments to Accelerated Filer and Large Accelerated Filer Definitions

May 22, 2019

SEC Interpretive Letter to Bank of America Merrill Lynch Permits Derivative Hedging Transactions for Section 16 Insiders of UPREITs and UP-C Issuers

April 11, 2019

A Tale of Two Token Sales: the SEC Offers a Path Forward for Certain Unregistered Token Sales

November 27, 2018

Crypto Enforcement - SEC Announces First Action for Investment Company Act Violation

September 19, 2018

Regulators Take Action Against Crypto Businesses

September 14, 2018

SEC Significantly Expands Smaller Reporting Company Eligibility for Scaled Disclosures and Modifies Threshold for Certain Acquisition Financial Statements

July 2, 2018

SEC Charges Against Former Equifax Executive Reinforce Recent SEC Warning Related to Insider Trading Before Disclosure of Cyber Breach

March 21, 2018

SEC Supplements 2011 Cybersecurity Disclosure Guidance

February 28, 2018

Crypto Roundup: SEC and CFTC Chairs, Commissioners, and Enforcement Directors Issue Stern Public Statements on Cryptographic and Virtual Assets

January 23, 2018

Crypto Enforcement: SEC Continues to Scrutinize Cryptocurrency-Related Activities

January 11, 2018

SEC Deems Munchee Cryptocurrency Token a Security

December 22, 2017

ICOs and Securities Suits

December 11, 2017

Press Releases

In the News