Tyler Rosen

Mr. Rosen has assisted many clients from a range of industries, with a particular focus in the financial services and real estate sectors, in developing comprehensive policies for complying with these laws and rules. He advises clients on the implementation and application of these policies and on the many issues that arise in these areas, including under SEC Rule 206(4)-5, MSRB Rule G-37, CFTC Rule 23.451 and FINRA Rule 2030. He has represented several clients in successfully obtaining exemptive orders from the SEC under Rule 206(4)-5 and from FINRA under Rule G-37. At the state level, he has represented clients in successfully obtaining exemptions from the New Jersey State Investment Council’s policy on political contributions as well as from Conn. Gen. Stat. § 9-612 (the Connecticut pay-to-play law) involving the Connecticut State Elections Enforcement Commission.

Mr. Rosen regularly represents clients before government regulators and investigators. Such engagements have included defending clients named in complaints before the Federal Election Commission and Ohio Elections Commission, and advising clients whose records were requested by the Office of Congressional Ethics. In addition, Mr. Rosen maintains frequent contacts with the agencies that enforce and interpret these laws.

Mr. Rosen counsels public companies in responding to shareholder activists requesting that they disclose their political activity and, when necessary, develops appropriate disclosure policies. He also advises corporate and trade association clients on the political law implications, including campaign finance and lobby compliance issues, of corporate mergers and spin-offs.

Mr. Rosen has been selected for inclusion in Chambers USA: America’s Leading Lawyers for Business. He also is a co-author of select chapters in Practising Law Institute’s treatise, “Broker-Dealer Regulation.”