Thomas S. Harman

Partner

Thomas S. Harman is a partner in Morgan Lewis's Investment Management and Securities Industry Practice. For the past five years, Mr. Harman was named one of the leading U.S. lawyers for investment management by Chambers USA, based on the views of clients, peers, and other industry professionals. Chambers noted that Mr. Harman is “a very talented lawyer who does an awesome job in terms of investment company regulatory issues” and further commented that he is respected for his “wealth of experience with the SEC.”

Mr. Harman's practice focuses 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. Previously, he served as counsel to the Securities Industry Association’s Soft Dollar Committee and to the Investment Company Institute’s Advisory Group on Personal Trading.

Before going into private practice in 1994, Mr. Harman served as chief counsel and subsequently associate director (chief counsel) of the Securities and Exchange Commission’s Division of Investment Management from 1988 to 1994. From 1987-1988, he directed the Division’s Office of Disclosure and Adviser Regulation. Mr. Harman joined the SEC in 1982 as a staff attorney in the Division of Investment Management. At the SEC, Mr. Harman was particularly active in issues involving mutual funds and pension plans, common trust funds, mutual fund advertising, and legislation affecting mutual funds and investment advisers.

Mr. Harman was an adjunct professor in the securities law program at the Georgetown University Law Center from 1991 until 2002. Mr. Harman is a frequent speaker on investment management issues and has authored or co-authored numerous articles on industry issues, including a chapter on insider trading and personal securities transactions in The Investment Company Regulation Deskbook. Mr. Harman serves as co-planning chair of the Annual ALI-ABA Course on Investment Company Regulation and Compliance.

Mr. Harman is admitted to practice in the District of Columbia.