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+1 202 637 8575
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+1 202 637 5910
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Stuart
G.
Stein
Partner, Washington, D.C.
stuart.stein@hoganlovells.com
Stuart Stein is the global co-head of the Hogan Lovells Corporate practice group. His practice primarily involves representing clients (with a particular industry focus on financial services) in a variety of corporate and securities matters, including mergers and acquisitions, initial and follow-on public offerings, and other public and private financing transactions. As to financial services, Stuart also advises clients on various legislative and government regulatory matters. He has extensive experience in representing financial services companies in a variety of corporate and regulatory matters before each of the federal and various state banking and savings institution regulatory authorities.
Stuart also advises corporate directors in connection with governance and fiduciary responsibility issues. He assists boards of directors, directors' committees (both customary and special committees), and individual directors as they define and perform their obligations. He advises on director fiduciary duties, general obligations, and liabilities; corporate governance, compliance, and ethics; transactional considerations; and crisis management, special investigations, and events. He also provides clients insight and understanding on how to address the requirements imposed by the Sarbanes-Oxley Act, as well as Securities and Exchange Commission, New York Stock Exchange, and Nasdaq rules and regulations.
RECENT PRESENTATIONS
Speaker, National Association of Corporate Directors (NACD) Capital Area Chapter Meeting, "Activist Hedge Funds in the Board Room: What Public Company Directors Need to Know" (2008).
Speaker, National Cooperative Business Association 2008 Cooperative Conference, "Co-op Governance" (2008).
Speaker, CFC Forum 2008, "Hot Topics in Corporate Governance" (2008).
Speaker, ACB Annual Meeting, "Effective Management of Activist Investors" (2007).
Speaker, New York Bankers Association (NYBA) Annual Convention, "Issues in Compliance Management" (2007).
Speaker, New York Bankers Association (NYBA) Bank Counsel Meeting, "Bank and SEC Regulatory Enforcement" (2007).
Speaker, KPMG Audit Committee Roundtable, "Audit Committee Communications and Coordination with the Board and Other Committees" (2006).
Presenter, New York Bankers Association (NYBA) Annual Convention, "Bank and SEC Regulatory Enforcement Actions" (2006).
Faculty member, ACB National School of Banking at Fairfield University in Connecticut (2006).
Presenter, New York Bankers Association (NYBA) Senior Management Conference, "Preparing for SEC and Other Regulatory Enforcement Actions" (2006).
Speaker, ACB Annual Meeting, "Directors' Duties" (2005).
Speaker, Community Bankers Associations of New York State, "Corporate Governance Issues" (2005).
Faculty member, ACB National School of Banking at Fairfield University in Connecticut (2005).
Speaker, InfoPipeline, "Emerging Issues for Boards of Directors of Financial Institutions" (2005).
Speaker, Directors' Forum on "Creating a Formal Code of Ethics" (2004).
Presenter, American Society of Corporate Secretaries Eastern New England, Fairfield-Westchester, Hartford and New York Chapters Regional Fall Conference (2004).
Speaker, Grocery Manufacturers of America Legal Conference, "Sarbanes-Oxley—Staying Ahead of the Curve, Accounting and SEC Issues and Attorney Conduct and Related Issues" (2004).
Hogan Lovells Publications
05 April 2012
"JOBS Act eases securities-law requirements for smaller companies." SEC Update, Hogan Lovells
18 January 2012
"SEC issues guidance on disclosure of European sovereign debt exposures." SEC Update, Hogan Lovells
06 January 2012
"Recess appointment of CFPB Director — What you need to know now." Financial Institutions Group Alert, Hogan Lovells
22 December 2011
"Federal Reserve issues key Dodd-Frank NPR on enhanced supervision of systemically important financial companies." Financial Services Regulation Update, Hogan Lovells
24 October 2011
"Financial Stability Oversight Counsel Issues Rule Proposal on the Supervision and Regulation of Systemically Important Nonbank Financial Companies." Financial Services Regulation Update, Hogan Lovells
17 October 2011
"Federal Financial Agencies Issue Volcker Rule Proposal." Financial Services Regulation Update, Hogan Lovells
17 May 2011
"Post-Dodd-Frank Preemption Standard Clarified." Financial Institutions Group Alert, Hogan Lovells
11 February 2011
"FDIC approves for public comment a proposed rule implementing the incentive compensation restrictions of the Dodd-Frank Act." Financial Institutions Alert, Hogan Lovells
29 November 2010
"Federal Reserve issues proposed rule on Volcker Rule transition period." Financial Institutions Group Alert, Hogan Lovells
06 August 2010
"Impact of Dodd-Frank Wall Street Reform and Consumer Protection Act on Non-U.S. Companies." Financial Institutions Group Alert, Hogan Lovells
20 July 2010
"Financial Services Reform Legislation Enacted." Financial Institutions Group Alert, Hogan Lovells
23 June 2010
"Federal Reserve, OCC, OTS and FDIC Issue Guidance on Incentive Compensation Policies." Financial Services Regulation Alert, Hogan Lovells
06 July 2009
"Supreme Court Hands Office of the Comptroller of the Currency (OCC) a Rare Preemption Case Loss." Financial Services Regulation Update, Hogan & Hartson LLP
17 June 2009
"A New Foundation: The White House Introduces its Financial Regulatory Reform Plan." Financial Services Regulation Update, Hogan & Hartson LLP
22 May 2009
"TALF Is Expanded to Include Legacy Commercial Mortgage-Backed Securities and Treasury Says the Public-Private Investment Program Is To Be Operating Within Six Weeks." Financial Services Regulation Update, Hogan & Hartson LLP
07 May 2009
"TALF is Expanded to Include Commercial Mortgage-Backed Securities." Financial Services Regulation Update, Hogan & Hartson LLP
25 March 2009
"Providing Clarity About the Public-Private Investment Program (PPIP): The Alphabet Soup of the Federal Government Investment in the U.S. Financial System Thickens." Financial Services Regulation Update, Hogan & Hartson LLP
20 March 2009
"New York Federal Reserve Expands Types of Collateral Eligible Under TALF." Financial Services Regulation Update, Hogan & Hartson LLP
16 March 2009
"New York Federal Reserve Extends TALF Program Initial Subscription Date and Further Modifies Loan Terms." Financial Services Regulation Update, Hogan & Hartson LLP
06 March 2009
"Revised TALF Terms: What It Means and Initial Dates for TALF Funding." Private Equity Update, Hogan & Hartson LLP
06 March 2009
"Revised TALF Terms: What It Means and Initial Dates for TALF Funding." Financial Services Regulation Update, Hogan & Hartson LLP
Published Works
June 2010
"Reform...again." The European Lawyer, Polyview Media
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