Neeraj Kumar

Neeraj Kumar

Associate

New York, (212) 336-4056

Education

American University (B.A., 2004)
;
The Dickinson School of Law of the Pennsylvania State University (J.D., 2009)

Practices

Capital Markets

Debt Offerings + 144A Offerings

Bar Admissions

New York

Structured Thoughts: News for the financial services community
Volume 3, Issue 9

In this issue of Structured Thoughts, we examine FINRA’s announcement of an effective date for new rules regarding communications with the public, the Federal banking agencies’ regulatory capital proposals, the new FINRA rule 5123 on private placements and the FDIC’s recent investor alert relating to structured CDs.

6/21/2012

Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products

Newsletter

Bank Shot:
JOBS Act Facilitates Capital Raising by Banks

4/20/2012

Capital Markets, Emerging Companies + Venture Capital, Equity Offerings, Financial Institutions + Financial Services, IPOs, Private Placements + PIPEs, Public Companies Counseling + Compliance

Client Alert

Structured Thoughts: News for the financial services community
Volume 3, Issue 2

In this issue of Structured Thoughts, we discuss Nasdaq’s proposed listing rules relating to structured products and a Texas District Court’s issuing of a ruling on application of the 1933 Act to CDs.

2/6/2012

Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products

Newsletter

Structured Thoughts:
News for the financial services community
Volume 2, Issue 4

4/14/2011

Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, New Products, Structured Products

Newsletter

Structured Thoughts:
News for the financial services community
Volume 1, Issue 13

10/4/2010

Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products

Newsletter

Regulatory Responses to Perceived Issues in the Securities Lending Market

4/5/2010

Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products

Client Alert

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