Background
Harman, Thomas S. was born on March 5, 1957 in Detroit, Michigan, United States.
- Photos
- Works
- Photos
- Works
Thomas S. Harman
Edit ProfileEducation
Duke University (Bachelor of Arts, magna cum laude, 1979). University of Virginia (Juris Doctor, 1982). Georgetown University (Masters of Securities Law, 1988).
Career
Worked at Fried, Frank, Harris, Shriver & Jacobson (Washington, District of Columbia) specializing in Mutual Funds, Securities Law, Banking. Admitted to the bar, 1982, Virginia. 1984, District of Columbia.
Author: "Emerging Alternatives to Mutual Funds: Unit Investment Trusts and Other Fixed Portfolio Investment Vehicles," Duke Law Journal (December 1987).
"Eligible Foreign Custodians and the Investment Company Acting of 1940," The Business Lawyer (August 1991). "Custody Rules for Investment Advisers," The Investment Lawyer, Volume 1, Number.
4 (July 1994). "Arbitration Under the Advisers Acting: Is it Here Already," The Investment Lawyer (July 1994).
"Arbitration Under the Advisers Acting," NSCP Currents (January-February, 1995). "Truth in Pricing: The Askin Decision," The Investment Lawyer (May/June 1995).
"When it"s Mutual: The Securities and Exchange Commission Takes a Look at Investment Companies and Advisers," Business Law Today (July/August 1995). "The Challenge of Cultural Consolidation: Securities and Exchange Commission-OCC Joint Fund Examinations Agreement," NSCP Currents (September/October 1995), and "Integration and Attribution Issues Affecting Hedge Funds," Review of Securities & Commodities Regulation (December 6, 1995).
Adjunct Professor, Georgetown Law Center, 1991.
Attorney, Division of Investment Management, Securities and Exchange Commission, 1982-1985. Special Counsel, Office of Disclosure and Adviser Regulation, 1986-1987. Chief, Office of Disclosure and Adviser Regulation, Division of Investment Management, 1987-1988.
Former Chief Counsel, Division of Investment Management, Securities and Exchange Commission, 1988-1994.
Associate Director (Chief Counsel), 1992-1994.
