November 25, 2020

Volume X, Number 330

Scott H. Kimpel

Scott brings in-depth knowledge of SEC policies, procedures and enforcement philosophy to each representation.

Scott regularly advises clients across a broad sector of the economy facing sensitive reporting, compliance and enforcement matters before the Securities and Exchange Commission and other capital markets regulators. His practice encompasses a wide range of matters involving the securities laws, mergers and acquisitions, corporate governance, regulatory enforcement, administrative law and public policy. Scott also leads the firm’s working group on blockchain and distributed ledger technology. 

Before joining the firm, Scott served on the Executive Staff of the SEC as Counsel to Commissioner Troy A. Paredes from 2008 to 2012. At the SEC, Scott acted as Commissioner Paredes’s liaison to the Commission’s senior staff as well as external constituencies including issuers and other SEC registrants, investors, press, members of Congress, professional firms and trade associations. He advised the Commissioner on all aspects of the federal securities laws and SEC policy across all SEC divisions and offices, focusing especially on the Division of Corporation Finance and the Division of Enforcement. Scott was also involved in financial regulatory reform efforts, including the SEC’s response to the Dodd-Frank Wall Street Reform and Consumer Protection Act as well as the Jumpstart Our Business Startups (JOBS) Act. Prior to the SEC, Scott practiced for ten years with another major law firm in Dallas and Washington.

Scott is frequently quoted by major news sources, including The Washington PostThe Wall Street JournalBloombergLaw360Compliance Week and The National Law Journal. Scott recently served with the legal staff of a Fortune 10 company on a seconded basis, supporting the SEC reporting, compliance, investor relations and corporate secretary functions.

Relevant Experience

  • Represents issuers, investors and underwriters in all aspects of Securities Act and Exchange Act compliance, including public and private offerings of debt and equity securities, disclosure and periodic reporting, business combinations and communication with SEC staff.
  • Counsels executives and boards of directors in matters concerning corporate governance and investor relations, including discharge of fiduciary duties, conduct of shareholder meetings, shareholder proposals and preparation of proxy statements, executive compensation, restricted stock issues, beneficial ownership reporting, stock exchange listing requirements, proxy advisorsand shareholder engagement.
  • Advises broker-dealers, investment advisers and other financial intermediaries on compliance with state and federal securities laws, FINRA rules and other applicable regulations.
  • Counsels leading trade associations in formulating legislative and administrative policy objectives concerning securities regulation and corporate governance.
  • Represents bidders, targets, special committees and significant stockholders in public and private mergers, acquisitions, tender offers, divestitures, Section 363 sales, joint ventures and going-private transactions.

Articles in the National Law Review database by Scott H. Kimpel

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