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James R. Tanenbaum

James R. Tanenbaum
Partner
New York, (212) 468-8163
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Education

  • Lehigh University (B.A., 1971)
  • ;
  • The Fletcher School of Law and Diplomacy (M.A., 1972)
  • ;
  • University of Pennsylvania Law School (J.D., 1975)
  • ;
  • Lehigh University (LLD Hon., 2013)

Practices

Capital Markets
Financial Institutions + Financial Services
Banking + Financial Services

Bar Admissions

  • New York
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Private Offerings: Questions that Might Frequently be Asked Sometime Soon
7/23/2013
Capital Markets, Emerging Companies + Venture Capital, Financial Institutions + Financial Services, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
JOBS Act first anniversary
Financier Worldwide
June 2013
Capital Markets, Financial Institutions + Financial Services, IPOs
Article
Distinctions without a difference for US securities?
International Financial Law Review – International Briefings 2013
February 2013
Capital Markets, New Products, Private Placements + PIPEs
Article
Reprinted with permission.
Liquidity Coverage Ratio: New Basel Measurement Published
1/10/2013
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, Structured Finance + Securitization
Client Alert
Capital Markets and Securities FAQs
2013
Book
Dodd-Frank Implementation: Navigating the Road Ahead
12/20/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products
Newsletter
The Proposed Capital Rules: Application to Bank Assets
12/5/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products, Structured Finance + Securitization
Article
Solicitation Emancipation:
Proposed Rules Relating to the Relaxation of the Prohibition on General Solicitation
8/29/2012
Capital Markets, Corporate, Emerging Companies + Venture Capital, Equity Offerings, Investment Management, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Client Alert
Dodd-Frank at 2
7/30/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products
Newsletter
The Volcker Rule’s Impact on Foreign Banking Organizations
7/2/2012
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services
Client Alert
New Basel Disclosure Rules – Is It Time to Bookmark www.bis.org?
6/27/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services
Client Alert
The Banking Agencies’ New Regulatory Capital Proposals - a More In-Depth Look
6/13/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products
Client Alert
The Federal Banking Agencies' Regulatory Capital Proposals - A Summary
6/13/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products
Client Alert
Supervised Securities Holding Companies: Federal Reserve Finalizes Regulation OO
6/4/2012
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services
Client Alert
Accessing the US Markets: A Warmer Climate for Foreign Issuers
Practical Law Company
June 2012
Capital Markets, Global Offerings, IPOs, Private Placements + PIPEs
Article
This article first appeared in the June 2012 issue of PLC Magazine.
BNA Insights: Is Nothing Private Anymore?
Daily Report for Executives
Bloomberg BNA
5/18/2012
Capital Markets, Private Placements + PIPEs
Article
Reproduced with permission from Daily Report for Executives, 96 DER B-1, 5/18/2012, 05/18/2012. Copyright 2012 by The Bureau of National Affairs, Inc. (800-372-1033) http://www.bna.com
Orderly Liquidation Authority: FDIC Announces Its Strategy
5/16/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Client Alert
Systemically Important Nonbank Financial Institutions: FSOC Approves Final Rule
May 2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Article
The Other Global Warming:
The Impact of the JOBS Act on Foreign Issuers
Practical Law Company
May 2012
Capital Markets, Global Offerings, IPOs, Private Placements + PIPEs
Article
Welcome to America. Again
International Financial Law Review
5/1/2012
Capital Markets, Global Offerings, IPOs, Private Placements + PIPEs
Article
Reprinted with permission.
Registered Offerings after the JOBS Act
4/12/2012
Capital Markets, Corporate, Emerging Companies + Venture Capital, Equity Offerings, IPOs
Multimedia
International Briefings: Cart Before the Horse
International Financial Law Review
March 2012
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Article
International Briefings: A Capital Question
International Financial Law Review
February 2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, New Products
Article
Reprinted with permission.
BNA Tax and Accounting Portfolio, SEC Reporting Issues for Foreign Private Issuers
2012
Capital Markets
Book
Government Responds to New Sense of Urgency for Securities Reform
New York Law Journal
12/19/2011
Capital Markets, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance
Article
Reprinted with permission from the December 19, 2011 edition of the NEW YORK LAW JOURNAL©2010 ALM Media Properties, LLC. All rights reserved.
International Briefings: Volcker Arrives
International Financial Law Review
11/2011
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Article
Reprinted with permission.
Private Capital Formation
International Financial Law Review
10/2011
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Private Placements + PIPEs, Public Companies Counseling + Compliance
Article
Reprinted with permission.
Legislative Update: GSE Reform
7/25/2011
Capital Markets, Financial Institutions + Financial Services, Structured Finance + Securitization
Client Alert
International Briefings: Happy Birthday Dodd-Frank
International Financial Law Review
7/2011
Capital Markets, Financial Institutions + Financial Services
Article
International Briefings: Neither A Borrower Nor A Lender Be
International Financial Law Review
5/2011
Capital Markets, Debt Offerings + 144A Offerings, Equity Offerings, Financial Institutions + Financial Services
Article
Reprinted with permission.
International Briefings: The Way We Were
International Financial Law Review
4/2011
Capital Markets, Covered Bonds, Financial Institutions + Financial Services, Structured Finance + Securitization
Article
Reprinted with permission
International Briefings: Fiduciary Duty for US Broker-Dealers?
International Financial Law Review
2/2011
Broker-Dealer Compliance + Regulation, Capital Markets, Corporate, Financial Institutions + Financial Services
Article
Reprinted with permission.
A Return to Simplicity Paved with Complexity
Bloomberg Banking & Finance Report, Vol. 4, No. 1
1/3/2011
Banking + Financial Services, Capital Markets, Debt Offerings + 144A Offerings, Financial Institutions + Financial Services, New Products
Reprinted with permission.
Hybrid Financing: Certain Ideas for Uncertain Times
1/3/2011
Capital Markets, Equity Offerings, New Products, Private Placements + PIPEs
Multimedia
LegalMinds.tv Reprinted with permission.
Exempt and Hybrid Securities Offerings
2011
Capital Markets, Private Placements + PIPEs
Book
Covered Bonds Staged to Become Alternatives or Complements to Securitization
BNA Real Estate Law & Industry Report
12/14/2010
Banking + Financial Services, Covered Bonds, Financial Institutions + Financial Services, Financial Services, Structured Finance + Securitization
Article
Reprinted with permission
International Briefings: the Maverick, the SEC and Insider Trading
International Financial Law Review
11/2010
Capital Markets, Financial Institutions + Financial Services, Public Companies Counseling + Compliance, Securities Litigation
Article
Dodd-Frank and the Capital Markets
Financier Worldwide
10/2010
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services
Article
Reprinted with permission
International Briefings:
US Covered Bonds: A Bigger Idea
International Financial Law Review
10/2010
Banking + Financial Services, Capital Markets, Covered Bonds, Financial Institutions + Financial Services, Financial Services
Article
Reprinted with permission
A Requiem for Hybrids?
Euromoney International Debt Capital Markets Handbook 2011
8/2010
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, New Products, Structured Products
Article
Reprinted with permission
The Cover Story -
A Work in Process
Financier Worldwide
8/2010
Capital Markets, Financial Institutions + Financial Services, Financial Services
Article
Reprinted with permission
International Briefings: Living Wills
International Financial Law Review
July/August 2010
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services
Article
Reprinted with permission
FINRA Issues Regulatory Notice Reminding Broker-Dealers of their Obligation to Conduct Reasonable Investigations in Regulation D Offerings
5/2010
Capital Markets, Corporate, Financial Institutions + Financial Services, Private Placements + PIPEs
Client Alert
Covered Bonds Handbook
2010
Capital Markets, Covered Bonds, Financial Institutions + Financial Services, Structured Finance + Securitization
Book
International Briefings: SEC Proposals Relating to MBS and ABS
International Financial Law Review
5/2010
Broker-Dealer Compliance + Regulation, Capital Markets, Financial Institutions + Financial Services, Structured Finance + Securitization
Article
Reprinted with permission
International Briefings: Proprietary Trading
International Financial Law Review
4/2010
Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Article
Reprinted with permission
A 20% Solution?
Investment Dealers' Digest
2/5/2010
Capital Markets, Private Placements + PIPEs
Article
International Briefings: Contingent Capital Instruments
International Financial Law Review
2/2010
Capital Markets, Federal Tax, Financial Institutions + Financial Services, New Products
Article
Reprinted with permission
SEC Proposes Regulation of Dark Pools
11/16/2009
Broker-Dealer Compliance + Regulation, Capital Markets, Corporate, Financial Institutions + Financial Services
Client Alert
International Briefings: The Mortgage REIT Reprise
International Financial Law Review
10/2009
Capital Markets, Equity Offerings, Federal Tax, Financial Institutions + Financial Services, REITs
Article
Reprinted with permission
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