Background
Phillips, Richard M. was born on September 8, 1931 in New York, New York, United States.
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- Works
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Other Work
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Author: "A Fresh Look at Prospectus Liability," ICI Bulletin Board, Volume 2, No. 1, January/February, 1996. "Soft Dollar Decision Raises Concerns Over SEC Administrative Proceedings," (Guest Editorial), Insights, Volume 8, No.
7 (July 1994). Co-Author, "Personal Trading by Persons Associated with Mutual Fund Advisers: A Time for Re-Evaluation," The Investment Lawyer, Volume 1, No. 2 (May 1994) -
Co-Author: "Congress Approves Securities Law Reforms in an Effort to Streamline Regulation, Reduce Regulatory Burdens and Promote Capital Formation for United States. Businesses," The National Law Journal, October 21, 1996 at B4, B6.
"A Special Report prepared for Fund Management, An International Legal Guide," A Special Supplement to International Financial Law Review, October, 1996. "Offshore Funds: What to Consider When Selecting the Right Jurisdiction," International Securities Regulation Report, Volume 9, No. 16, August 1, 1996 -
"The Securities Litigation Reform Act of 1995: Rebalancing Litigation Risks and Rewards for Class Action Plaintiffs, Defendants and Attorneys," The Business Lawyer, Volume 51, No.
4, August 1996 -
"Reforming Securities Litigation," Business Law Today, Volume 4, No. 6, July/August, 1995. "Mutual Funds' Use of Derivatives: The Enhanced Regulatory Focus," World Fund Industry/Gestion Collective Internationale, No.
2 (January, 1995).
Richard M. Phillips
Edit ProfileEducation
Columbia University (Bachelor of Arts, 1953). Yale University (Bachelor of Laws, 1956).
Career
Worked at Kirkpatrick & Lockhart Limited Liability Partnership (Washington, District of Columbia) specializing in Investment Company Law, Investment Management, Broker-Dealer Regulation, Securities and Exchange Commission Enforcement, Securities Fraud. Admitted to the bar, 1956, District of Columbia. 1961, New New York
Company-Author: "Congress Approves Securities Law Reforms in an Effort to Streamline Regulation, Reduce Regulatory Burdens and Promote Capital Formation for United States.
Businesses," The National Law Journal, October 21, 1996 at B4, B6.
"A Special Report prepared for Fund Management, An International Legal Guide," A Special Supplement to International Financial Law Review, October, 1996. "Offshore Funds: What to Consider When Selecting the Right Jurisdiction," International Securities Regulation Report, Volume 9, Number.
16, August 1, 1996. "The Securities Litigation Reform Acting of 1995: Rebalancing Litigation Risks and Rewards for Class Action Plaintiffs, Defendants and Attorneys," The Business Lawyer, Volume 51, Number.
4, August 1996; "Reforming Securities Litigation," Business Law Today, Volume 4, Number. 6, July/August, 1995.
"Mutual Funds" Use of Derivatives: The Enhanced Regulatory Focus," World Fund Industry/Gestion Collective Internationale, Number. 2 (January, 1995). Author: "A Fresh Look at Prospectus Liability," Imperial Chemical Industries Bulletin Board, Volume 2, Number.
1, January/February, 1996.
"Soft Dollar Decision Raises Concerns Over Securities and Exchange Commission Administrative Proceedings," (Guest Editorial), Insights, Volume 8, Number. 7 (July 1994). Company-Author, "Personal Trading by Persons Associated with Mutual Fund Advisers: A Time for Re-Evaluation," The Investment Lawyer, Volume 1, Number. 2 (May 1994). Author: "Understanding New Securities and Exchange Commission Guidelines on Allocating Securities," The Investment Lawyer, Volume 1, Number.
1 (April 1994).
Company-Author: "Hub & Spoke Mutual Funds," The Review of Securities & Commodities Regulation, Volume 26, Number. 14 (1993). Author, "Under Securities and Exchange Commission Investigation? Wells Statement Can Be Best Response," Corporate Directions, Issue Number. 119 (March 23, 1993).
Author: "Client Fraud and the Securities Lawyer"s Duty of Confidentiality," Washington and Lee Law Review, Volume 49, Number.
3, 1992, Company-Author, "The Internationalization of Securities Fraud Enforcement in the 1990s" The Review of Securities & Commodities Regulation, Volume 25, Number. 11 (1992), Company-Author, "Privatizing Eastern Europe: A Challenge for the Nineties," International Quarterly, Volume 3, Number.
4 (October 1991), Company-Author, "Insider Trading Controls for Law Firms," The Review of Securities & Commodities Regulation, Volume 23, Number. 12, June 20, 1990; "Disclosures to Securities Analysts: The Drafty Exposures of the Open-Door Policy," Insights, Volume 4, Number.
5 (May, 1990), Company-Author, "Update on Disclosures to Securities Analysts," Bowne Digest for Corporate & Securities Lawyers, Volume 4, Number.
10 (October 1990), Company-author, "Insider Trading Liability for Publicly Held Companies," The Review of Securities & Commodities Regulation, Volume 23, Number. 3 (February 14, 1990), Company-Author, "The Securities and Exchange Commission"s Proposed Insider Trading Legislation: Insider Trading Controls, Corporate Secrecy, and Full Disclosure," Alabama Law Review, Volume 39, Number. 2 (Winter 1988), Company-Author, "The Insider Trading Doctrine: A Need for Legislative Repair," Hofstra Law Review, Volume(s) 13, Number.
1 (1984), Author, "Deregulation Under the Investment Company Acting: A Reevaluation of the Corporate Paraphernalia of Shareholder Voting and Boards of Directors," The Business Lawyer, 37 Business.
Law, 905-913 (1982). Attorney, Office of General Counsel, Securities and Exchange Commission, 1960-1961. Legal Assistant to Commissioner, 1962-1964.
Special Counsel, 1964-1966. Assistant General Counsel, 1966-1968.
Staff Director, Disclosure Study, 1968.
Member, Legal Advisory Committee, National Association of Securities Dealers, Incorporated., 1989-1993. Member, Advisory Boards: Bureau of National Affairs, Securities Regulation and Law Report, 1969. Standard & Poor"s Review of Securities Regulation, 1969.
Member: Federal (Chair, 1980-1982, Executive Council, Federal Securities Regulation Committee) and American (Chair, Federal Regulation of Securities Committee, 1983-1986, Chair, Section of Business Law, 1993-1994) Bar Associations.
American Law Institute.
Achievements
Works
Other Work
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Author: "A Fresh Look at Prospectus Liability," ICI Bulletin Board, Volume 2, No. 1, January/February, 1996. "Soft Dollar Decision Raises Concerns Over SEC Administrative Proceedings," (Guest Editorial), Insights, Volume 8, No.
7 (July 1994). Co-Author, "Personal Trading by Persons Associated with Mutual Fund Advisers: A Time for Re-Evaluation," The Investment Lawyer, Volume 1, No. 2 (May 1994) -
Co-Author: "Congress Approves Securities Law Reforms in an Effort to Streamline Regulation, Reduce Regulatory Burdens and Promote Capital Formation for United States. Businesses," The National Law Journal, October 21, 1996 at B4, B6.
"A Special Report prepared for Fund Management, An International Legal Guide," A Special Supplement to International Financial Law Review, October, 1996. "Offshore Funds: What to Consider When Selecting the Right Jurisdiction," International Securities Regulation Report, Volume 9, No. 16, August 1, 1996 -
"The Securities Litigation Reform Act of 1995: Rebalancing Litigation Risks and Rewards for Class Action Plaintiffs, Defendants and Attorneys," The Business Lawyer, Volume 51, No.
4, August 1996 -
"Reforming Securities Litigation," Business Law Today, Volume 4, No. 6, July/August, 1995. "Mutual Funds' Use of Derivatives: The Enhanced Regulatory Focus," World Fund Industry/Gestion Collective Internationale, No.
2 (January, 1995).
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Membership
Member, Legal Advisory Committee, National Association of Securities Dealers, Incorporated., 1989-1993. Member, Advisory Boards: Bureau of National Affairs, Securities Regulation and Law Report, 1969. Standard & Poor"s Review of Securities Regulation, 1969.
Member: Federal (Chair, 1980-1982, Executive Council, Federal Securities Regulation Committee) and American (Chair, Federal Regulation of Securities Committee, 1983-1986, Chair, Section of Business Law, 1993-1994) Bar Associations.
American Law Institute.
