Lawrence Cohen

Lawrence Cohen has a varied national business practice. Mr. Cohen has, over his career, represented a broad range of investment industry clients, from boutique broker/dealers and regional investment advisers to multi-billion dollar money management firms and money-center banks, advising clients on securities transactional and regulatory matters, including compliance and capital markets issues. As a former legal officer and compliance director of mutual fund groups, he brings practical experience to the regulation and registration of public investment companies (closed-end funds and mutual funds, unit investment trusts, ETFs, etc.) and the formation and operation of private investment companies (hedge funds, private equity funds, VC funds). Mr. Cohen also counsels companies in the alternative energy/sustainable development sector that focus on R&D, manufacturing, installation, or investment, with respect to capital raising, licensing, regulatory and governance matters. Mr. Cohen also advises clients in franchising transactions, representing both franchisors and multi-unit franchisees.

University at Buffalo Law School, State University of New York (J.D., 1979)

Captain, Jessup International Moot Court Team, 1978-79
Kosciuszko Foundation Scholarship (Study at Polish Institute of State & Law, 1978)

Brooklyn College, City University of New York (B.A., cum laude, 1976)

Recipient, Rosenberg History Award, 1976

State of New York

State of New Jersey

Member, Securities Industry & Financial Markets Association - Compliance & Legal Division

Member, American Bar Association

Member, New Jersey Bar Association

Member, New York Bar Association

Board of Directors, Children’s Home Society of New Jersey, 2003-2007

Member, Association of Internet Professionals, 2001-2003

Organization Committee Member, New Jersey Technology Council’s Venture Fair, 1999

"Impact of White House Proposal to Restrict Size and Scope of Banks," Corporate & Finance Alert, January 27, 2010 (Lawrence Cohen, Thomas More Griffin)

"SEC Amends Rules on Adviser Custody," Corporate & Finance Alert, January 12, 2010

"'Loose Lips Sink Ships': Insider Trading and The Lessons of Galleon," FINalternatives, November 13, 2009

"Alternative Energy Stimulus Funds are Finally Trickling Down," Corporate & Finance Alert, October 6, 2009

"FDIC Issues Final Policies on Investments in Failed Banks," Corporate & Finance Alert, September 8, 2009 (Lawrence Cohen, Michael J. Lubben)

"SEC Proposes Adviser Custody Rule Changes," Corporate & Finance Alert, August 4, 2009

"What Obama's Regulatory “Overhaul” Means for Private Funds," Corporate & Finance Alert, July 7, 2009

"Impending Fund Regulations Call For Adoption of 'Best Practices'," FINalternatives, May 8, 2009

"Best Practices for Hedge Fund Managers - Transparency Regulations," Corporate & Finance Alert, May 5, 2009

"Recovery Act Energy Funding Info: Sources And State Developments," CleanTech Brief, April 8, 2009

"Recovery Act Energy Funding - Information Sources and Selected State Developments," EnviroPolitics Blog , April 7, 2009

"Looming Changes in Hedge Fund Regulation," FINalternatives, April 2, 2009 (Mark W. Stoutenburg, Lawrence Cohen)

"Looming Changes in Hedge Fund Regulation," Corporate & Finance News, March 30, 2009 (Mark W. Stoutenburg, Lawrence Cohen)

"Government’s Clean Energy Funds Target Wide Range of Projects," FINalternatives, March 5, 2009

"Funds for Clean Energy Production and Distribution," Corporate & Finance Alert, March 3, 2009

"What to Expect From Mary Schapiro's SEC," Corporate & Finance Alert, February 3, 2009

"Decision: Cayman Funds May Suspend Redemptions After Redemption Date," FINalternatives, January 13, 2009

"A Run on Hedge Funds: Redemption Strategies and Responses," FINalternatives, December 30, 2008 (Lawrence Cohen, Thomas More Griffin)

"Changes to Mutual Fund Disclosure Seek To Improve Investor Understanding," Corporate & Finance Alert, December 23, 2008

"A Run on the Hedge Funds: Redemptions -- Strategies and Responses," Corporate & Finance Alert, December 16, 2008 (Lawrence Cohen, Thomas More Griffin)

"SEC Adopts New and Amended Rules on Ratings Agencies," Corporate & Finance Alert, December 9, 2008

"Time to Undertake Year-End Compliance Review," Corporate & Finance Alert, December 2, 2008

"Update on Claims for Lehman Prime Brokerage Assets," Corporate & Finance Alert, November 4, 2008

"Update to Executive Compensation Rules Under the EESA," Corporate & Finance Alert, October 28, 2008 (Steven H. Sholk, Lawrence Cohen)

"Status of Executive Compensation Limits Under the Rescue Plan," Corporate & Finance Alert, October 15, 2008

"When a Prime Broker Fails – Critical Issues for Fund Managers in the Lehman Bankruptcy," Corporate & Finance Alert, October 1, 2008

"Hedge Funds - Structure, Regulation, and Tax Implications: Part I Structure and Regulation," Business Entities, July/August 2006 (Lawrence Cohen, J. August)

"Adviser ‘Client Notice and Consent’ for Principal Trades and the Impact of ‘Real-Time’ Reporting," Journal of Investment Compliance, Spring, 2005

"New Rules for Funds and Advisers Tighten the Compliance Process," ABA Business Law Today, September 4, 2004

"New SEC Rules Under Sarbanes-Oxley: Impact Beyond Issuers," Corporate Counsel, August 2003

"New Scrutiny of Broker-Dealers’ Expense Sharing Arrangements," Journal of Investment Compliance, Spring, 2003

"Click on the Dotted Line," New Jersey Law Journal, August 20, 2001

Quoted in Nine Cases to Shape the 2010 Legal Landscape, Compliance Week, January 5, 2010

Quoted in "COMPLIANCE WATCH: Expulsion Shows Risks of Outside Accounts," Wall Street Journal, October 19, 2009

Quoted in "Outside-Business Proposal Mirrors Real World," The Wall Street Journal, June 10, 2009

Quoted in "Finra Guidance Warns Against Illegal, Unregistered Resales," Dow Jones Newswire, January 16, 2009

Quoted in "COMPLIANCE WATCH: Industry Awaits News Of Finra Successor," Dow Jones Newswire, January 14, 2009

Speaker, NY State Society of CPAs, "Broker/Dealer Conference," New York, NY. May 13, 2009

Lawyers Committee for Human Rights (Successful political asylum matter for Liberian national)

Board Membership and Volunteer Legal Activities, The Children’s Home Society of New Jersey