Morgan Lewis

Related Publications

June 3–June 4, 2010 Investment Company Regulation and Compliance, presented at an ALI-ABA Conference, Washington, D.C.
View all publications
Photo of  Thomas S. Harman

practice accolades

Investment Management

Ranked, National Tier 1: Securities/Capital Markets Law, U.S. News and Best Lawyers (2015)

Ranked: Investment Fund Formation and Management: Mutual/Registered Funds in The U.S. Legal 500 (2014)

Ranked: Financial Services Regulation: Broker-Dealer Regulation in Chambers USA (2014)

Ranked: Investment Funds: Registered Funds in Chambers USA (2014)

Private Investment Funds

Ranked "#1 Most Active Law Firm" globally, based on the number of private equity funds worked on for limited and general partners, by Dow Jones Private Equity Analyst (2013) 

Ranked, National Tier 1: Private Funds/Hedge Funds Law, U.S. News and Best Lawyers (2013)

honors + affiliations

Listed, The Best Lawyers in America (2008–2015)

Named, Best Lawyers' Washington, D.C. Mutual Funds Law Lawyer of the Year (2012)

Listed, Chambers USA: America's Leading Lawyers for Business (2004–2014)

Listed, Washington, D.C. Super Lawyers (2008–2011, 2013–2014)

Listed, Investment Fund Formation and Management: Mutual Funds in The US Legal 500 (2009–2012, 2014)

PLC Which Lawyer? Yearbook, Recommended, Investment Funds (2008)

Listed, "Guide to the World's Leading Investment Funds Lawyers," International Financial Law Review/Expert Guides (2008)

bar admissions

  • District of Columbia
print profile

Thomas S. Harman
Partner


Email: thomas.harman@morganlewis.com
Washington, D.C.
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
United States
Phone: +1.202.373.6725
Fax: +1.202.739.3001

Thomas S. Harman focuses his practice on investment management matters involving investment advisers, mutual funds, closed-end funds, private investment companies, and exchange-traded funds. He also serves as counsel to the board of directors of several fund families. Additionally, he conducts internal reviews on behalf of fund advisers and independent boards.

Tom previously served as chief counsel and then associate director (chief counsel) of the Securities and Exchange Commission’s (SEC) Division of Investment Management. Subsequently, he directed the Division’s Office of Disclosure and Adviser Regulation. Tom joined the SEC in 1982 as a staff attorney in the Division of Investment Management. At the SEC, Tom was active in issues involving mutual funds and pension plans, common trust funds, mutual fund advertising, and legislation affecting mutual funds and investment advisers.

A frequent speaker on investment management issues and the author of numerous articles on industry issues, Tom has also taught in the securities law program at the Georgetown University Law Center. He serves as co-planning chair of the Annual ALI-ABA Course on Investment Company Regulation and Compliance.

Based on feedback from clients, peers, and other industry professionals, Chambers USA has named Tom a leading U.S. lawyer for investment management for the past 10 years. Chambers noted that Tom is “a strong player” and that he is respected for “innovative and thoughtful work, coupled with encyclopedic knowledge.”

Before joining Morgan Lewis, Tom was a partner in the financial services practice of another international law firm.

education

  • Georgetown University Law Center, 1988, LL.M.
  • University of Virginia School of Law, 1982, J.D.
  • Duke University, 1979, B.A.

Additional Information

  • Chair, Mutual Funds Today: Current Issues and Developments in Fund Regulation and Compliance, ALI CLE, Washington, D.C. (2014)
  • Speaker, Spotlight on the SEC: Developments Affecting Funds and Advisers at the Securities Law Developments webinar hosted by the Investment Company Institute (2014)
  • Speaker, 2013 Fund Directors Conference, hosted by the Investment Company Institute and the Independent Directors Council, Chicago (2013)
  • Co-charied, Mutual Funds Today: Current Issues in Fund Regulation and Compliance conference, Washington, D.C. (2013)
  • Panelist, 2013 Mutual Funds and Investment Management Conference, sponsored by the Investment Company Institute and the Federal Bar Association, Palm Desert, Calif. (2013)
  • Co-Planning Chair, Annual ALI-ABA Course on Investment Company Regulation and Compliance
  • Presenter, Mutual Fund Regulation and Compliance, ALI-ABA, Washington, D.C. (2012)