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ROBERT C. ROSEN
robertrosen@rosen-law.com
Robert C. Rosen practices law in Los Angeles, California and specializes in securities, corporate and business matters. From 1973 until 1985, Mr. Rosen was a member of the staff of the U.S. Securities and Exchange Commission in Washington, D.C. Prior to that Mr. Rosen was an Assistant Attorney General for the State of Pennsylvania.
Mr. Rosen was admitted to practice law in 1970 and is presently a member of the District of Columbia and California bars. Mr. Rosen is also a member of the Los Angeles County Bar Association, where he is a past Chair of the Executive Committee of the Business and Corporations Law Section and Presently Chair of its Securities Enforcement Sub-Committee; the American Bar Association, where he is a member of its Sections on International Law, Corporate, Banking and Business Law and Litigation; the International Bar Association and its Committee on Issues and Trading in Securities; and the Association of Business Trial Lawyers. Mr. Rosen is an Arbitrator with the New York Stock Exchange, NASD Regulation, Inc., (now FINRA) and the Los Angeles County Bar Association’s Dispute Resolution Program.
Mr. Rosen is a graduate of Harvard Law School (LL.M.); Duquesne University School of Law (J.D.); and the University of Minnesota (B.S., Business and Accounting). He also did post-graduate work at the Fletcher School of Law and Diplomacy, Tufts University. Mr. Rosen is the 2001 recipient of the Marvin Greene Award for distinguished service to the Business and Corporations Law Section of the Los Angeles County Bar Association. He is honored as a member of "The Bar Registry of Preeminent Lawyers." His legal rating as an attorney is the highest available “AV” (“A”-Highest Legal Ability and “V” Highest General Ethical Standards).
PUBLICATIONS
Books - General Editor
● International Securities Regulation, Eight Volumes, Thomson Reuters - West Publications, C0-General Editor
● Stock Exchanges of the World, Four Volumes, Thomson Reuters - West Publications, General Editor
● International Securities Regulation: Pacific Rim, Four Volumes, Thomson Reuters - West
Publications
Books - Author
● Commercial Business and Trade Laws: India, (1 Volume).
Articles
● Overview of Securities Regulation in Cyberspace, delivered at and published in the course materials of the 30th Annual Securities Regulation Seminar, Los Angeles, October, 1997
● Internationalization of the U.S. Securities Markets: Rule 144A and Efforts To Establish Formal Trading Markets, The California International Practitioner, January, 1993, (Publication of the International Law Section of the California State Bar Association)
● Internationalization of the U.S. Securities Markets and its Global Impact, delivered at and published in the course materials of the Philippine S.E.C. Institute Inaugural Conference, Manila - July 28-30, 1992, co-author
● Stockbrokers and Insider Trading: How to Avoid Liability, Financial Planning on Wall Street, August, 1992, co-author
● Insider Trading Dangers, The Corporate Board, The Journal of Corporate Governance, September, 1992
● An Accountant's Guide to the S.E.C.'s New Insider Trading Regulations, The CPA Journal (N.Y. Society of CPA's), January, 1993, co-author
● Insider Trading Regulation: A Short Course in U.S. Law and an Outline in Selected Countries, delivered at and published in the course materials of the Philippine S.E.C. Institute Inaugural Conference, Manila, July 28-30, 1992, co-author
● Recent SEC International Initiatives and Their Impact on Domestic & Foreign Securities Markets, co-author, delivered at the Los Angeles County Bar Association Program on International Securities Offerings, Debt Financing, Technology Transfers and Joint Ventures, May, 1992, co-author
● Securitization of Commercial Real Estate and the Real Estate Exchange: Looking Back on a Decade of Change -- 1993-2003, co-author, The REIT Report, Vol. XIII, No. 4, Fall 1993, The National Association of Real Estate Investment Trusts, and also published in the course materials of the 1992 Glendon Tremain Symposium on Recent Developments of Interest to the Business Lawyer, April 1992, Los Angeles, and in the Institutional Real Estate Letter, July, 1992
● How the Legal Profession Has Dropped the Ball on Insider Trading And What Can Be Done About It, delivered at and published in the course materials of the 1992 Glendon Tremain Symposium on Recent Developments of Interest to the Business Lawyer, April, 1992, Los Angeles, co-author
● Breaking the Mold: The Hybrid Limited Liability Company -- An Empirical Analysis and Challenge for Legislative Action, published in the course materials of the 1992 Glendon Tremain Symposium on Recent Developments of Interest to the Business Lawyer, April, 1992, Los Angeles, co-author
● Law Firm Liability Under the Federal Securities Laws, INSIGHTS, Prentice Hall Law & Business, March, 1992, co-author
● Rule 144A and its Impact on International Securities Transactions, delivered at and published in the course materials of the 1990 23rd Annual Securities Regulation Seminar, Los Angeles
● The Internationalization of the U.S. Capital Markets: A Time of Change Led by the Securities & Exchange Commission, delivered at and published in the course materials of the 1990 Glendon Tremaine Symposium on Recent Developments of Interest to the Business Lawyer, April, 1990, Los Angeles
● Practical Considerations in Representing Witnesses During an SEC Investigation, delivered at and published in the course materials of the 20th Annual Securities Regulation Seminar, October, 1987, Los Angeles
● The Myth of Self Regulation or the Dangers of Securities Regulation Without Administration: The Indian Experience, Journal of Comparative Corporate Law & Securities Regulation, the University of Pennsylvania Law School (Vol. 2, No. 4, December, 1979)
● Law & Population Growth in Jamaica, Fletcher School of Law and Diplomacy, Tufts University, (Monograph Series No. 10, 1973).
SPEAKING ENGAGEMENTS
● Speaker, State Bar of California, 86TH Annual Meeting: “Representing Foreign Companies Making Acquisitions and Investing in the U.S.,” San Jose, October 2013
● Panel Chair, Securities Arbitration, Current Developments, Los Angeles County Bar Association and FINRA, February 28, 2013
● Investment Opportunities in the U.S. For Chinese Investors at the Annual Meeting of the all China Chamber of Commerce, Beijing China, January 2013
● Panel Chair, SEC Enforcement, Los Angeles County Bar Association, February 2012
● Panel Chair, Securities Arbitration - Recent Developments, Los Angeles County Bar Association and FINRA, February 2011
● Ethical Issues Confronting Securities Law Practitioners, 34th Annual Securities Regulation Seminar, Los Angeles, October 2001
● Ethics and the Securities Lawyer in the Current Environment, 35th, 36th and 37th Annual Securities Regulation Seminar, Los Angeles, October 2002, 2003 and 2004
● Panel Chair, Securities Enforcement Developments, and Basics of Securities Enforcement, Los Angeles County Bar Association, October 2000
● Chair, Tough Issues for the Tough Enforcers - Challenges to the SEC Enforcement Program, Los Angeles County Bar Association, March 2000
● Chair, 31st & 32nd Annual Securities Regulation Seminar, Los Angeles County Bar Association, October 1998 and October 1999
● Panel Chair, Securities Law in Cyber Space, Los Angeles County Bar Association, October 1997
● International Securities Law Conference, Penang, Malaysia, 1994
● The Philippine SEC Institute Inaugural Conference, Manila, 1992
● Program Chair, Glendon Tremain Symposium, Los Angeles, 1991
● Program Chair, 1991, International Securities Regulations, Trading and Transactions Symposium, 1991, Los Angeles
● Program Chair, Recent Developments in Securities and Commercial Arbitration, Los Angeles, February 1989
● Co-Program Chair, Seminar on Regulation of International Securities Transactions, Institute of International Research, New York, 1989
● Program Chair, Recent Developments in Securities Class Actions, Los Angeles, 1988
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