Bradley Berman is Of Counsel in the Capital Markets Group. Mr. Berman represents domestic and non-U.S. issuers on domestic and international securities offerings of structured products linked to equities, commodities, interest rates, currencies and other underlying assets. Mr. Berman has extensive experience with exchange traded notes. He advised Royal Bank of Canada and RBC Capital Markets, LLC on the first exchange traded note issued by a Canadian issuer into the United States, and has since advised Royal Bank of Canada on a second exchange traded note. He also represented a non-U.S. frequent issuer on all of their exchange traded notes for three years. Mr. Berman advises issuers on shelf registration statements and medium term note programs and issuances exempt from registration under Regulation S, Rule 144A or Section 3(a)(2). Mr. Berman worked on many bank note issuances by state and national banks. Mr. Berman also advises broker-dealers on the FINRA communication rules and suitability issues. His work previously involved capital-raising debt and equity transactions for large bank holding companies, including several common stock issuances. He has extensive experience with negotiating underwriting, distribution, and dealer agreements and related deal documents, including indentures. Recently, Mr. Berman advised an issuer on establishing a registered structured warrant program, including post-effectively amending their registration statement to add a new class of warrants and drafting the issuer’s first warrant indenture.
Mr. Berman is co-author of Considerations for Foreign Banks Financing in the United States (2012, updated 2014, 2016), published by the International Financial Law Review.
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