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David B. Harms
Partner
New York
Phone +1-212-558-4000
Fax +1-212-558-3588
David Harms is co-head of the Firm's General Practice Group and has responsibility for more than 350 lawyers in 12 offices around the world. He advises clients on a wide variety of
securities and
corporate law matters, particularly with regard to capital markets transactions, SEC requirements, corporate governance and broker-dealer regulation. He regularly represents underwriters and issuers in SEC-registered and exempt offerings, both US and non-US, and provides advice on corporate disclosure and governance, securities trading and research practices and equity derivatives. He also represents broker-dealers with regard to SEC, NASD and NYSE inquiries and advises them on registration and compliance matters. Recently, he acted as counsel to the underwriters in the IPOs of Orbitz, optionsXpress and Greenhill & Co. and as counsel to the issuer in the IPO of IntercontinentalExchange. His regular clients include Goldman Sachs, UBS and Computer Associates. He also serves as co-coordinator of S&C's securities finance practice and as coordinator of the Firm's broker-dealer regulation practice.
Mr. Harms serves as co-chairman of the Annual
Institute of Securities Regulation, sponsored by the
Practising Law Institute. He is named in
The World's Leading Lawyers for Business 2004-2005 by Chambers Global, and he received The Burton Award for Legal Achievement in 2002 for his article "Integration Under the 1933 Act: The SEC Provides New Safe Harbors" published in
The Review of Securities & Commodities Regulation. Before joining the Firm, Mr. Harms was Editor-in-Chief of the
New York University Law Review.
PRACTICE AREAS
Broker-Dealer Regulation
Corporate Governance
Financial Institutions
Securities
EDUCATION
1984,
New York University School of Law, J.D.
1978,
State University of New York at Purchase, B.A.
BAR ADMISSIONS
New York
CLERKSHIPS
The Honorable Edward Weinfeld, United States District Court S.D., N.Y., 1984 - 1985
See Library Tab for articles, publications and presentations
by David Harms 
