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Thomas S. Harman

Partner

Thomas S. Harman represents investment advisers (both publicly and privately held), mutual funds, closed-end funds, interval funds, unit investment trusts, and private investment funds on a variety of legal and compliance issues. Tom represents the board of directors of several fund families, including the board of several business development companies. He also advises issuers with respect to the availability of exemption from the Investment Company Act of 1940.

Extended Profile

Tom previously served as chief counsel and then associate director (chief counsel) of the Securities and Exchange Commission’s (SEC) Division of Investment Management.

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

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

Education

  • Duke University, 1979, Bachelor of Arts
  • Georgetown University Law Center, 1988, Master of Laws
  • University of Virginia School of Law, 1982, Juris Doctor

Admissions

  • District of Columbia

Awards and Affiliations

Member, Best ETF Law Firm, ETF Express US Awards (2021, 2022)

Lawyer of the Year, Mutual Funds Law, Washington, DC, The Best Lawyers in America (2022)

Recognized, Litigation – Securities, Washington, DC, The Best Lawyers in America (2008–2020, 2022–2024)

Recognized, Mutual Funds Law, Washington, DC, The Best Lawyers in America (2008–2020, 2022–2024)

Recognized, Securities/Capital Markets Law, Washington, DC, The Best Lawyers in America (2008–2020, 2022–2024)

Recognized, Securities Regulation, Washington, DC, The Best Lawyers in America (2008–2020, 2022–2024)

Ranked, Investment Funds: Registered Funds, USA, Chambers Global (2020–2024) 

Ranked, Investment Funds: Registered Funds, Nationwide, Chambers USA (2004–2023)

Hall of Fame, Investment fund formation and management: Mutual/registered/exchange-traded funds, The Legal 500 US (2020–2023)

Leading Lawyer, Investment fund formation and management: Mutual/registered/exchange-traded funds, The Legal 500 US (2019)

Leading Lawyer, Investment fund formation and management - Mutual/registered funds, The Legal 500 US (2009–2012, 2014–2016, 2018)

Member, Practice Group of the Year, Asset Management, Law360 (2017)

Recognized, The Legal 500 Hall of Fame (2017)

Recognized, Who’s Who Legal (2016)

Recognized, Washington, DC Super Lawyers (2008–2011, 2013–2014)

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

“Guide to the World’s Leading Investment Funds Lawyers” — International Financial Law Review/Expert Guides (2008)

Publications

News

Events