Securities & Derivatives Enforcement and Regulatory
AREAS OF FOCUS
Preferred and Capital Securities
Trading in Securities by Officers and Directors
Financial Reporting and Disclosures
Executive Compensation Disclosure
ADMISSIONS & CERTIFICATIONS
District of Columbia
Harvard Law School (J.D., 1995, magna cum laude; Editor, Harvard Law Review)
Yale College (B.A., 1991, summa cum laude)
U.S. District Court, District of Columbia, Louis F. Oberdorfer
TOM KIM focuses his practice on advising companies, underwriters and boards of directors on registered and exempt capital markets transactions, SEC regulatory and reporting issues, and corporate governance, as well as on general corporate and securities matters. Tom has been recognized by Chambers USA: America's Leading Lawyers for Business in the area of Securities: Regulation: Advisory since 2015, where Chambers noted that he is “well respected for his regulatory expertise and is often sought after by public companies and their boards of directors, as well as underwriter clients, to advise on complex SEC reporting and corporate governance issues.”
Prior to joining Sidley in 2013, Tom served for six years as the Chief Counsel and Associate Director of the Division of Corporation Finance at the SEC. As Chief Counsel, Tom was responsible for the no-action, interpretive and exemptive positions taken by the Division on a wide range of matters, including Securities Act exemptions, the registration process, Rule 144, and a broad range of Exchange Act issues, including deregistration, succession, Section 16, proxy solicitation and shareholder proposal rules, and executive compensation disclosure, among others. Under his leadership, the Chief Counsel’s Office revised and updated the Division’s telephone interpretations as Compliance and Disclosure Interpretations and issued several significant Staff Legal Bulletins. Tom also led a number of notable SEC rulemakings and policy initiatives, including:
The July 2013 rulemaking under the JOBS Act eliminating the prohibition against general solicitation in Securities Act Rules 506 and 144A offerings;
The revisions to the securities exchange listing standards for compensation committees and compensation advisers;
The concept release on the U.S. proxy system; and
The interpretive release on the use of company websites.
Tom also oversaw the Division’s Office of Enforcement Liaison, which refers matters to the Division of Enforcement and advises on offering and disclosure-related issues in enforcement cases.
Prior to joining the SEC in 2006, Tom served as Corporate and Securities Counsel for the General Electric Company in Fairfield, CT.
Tom currently chairs the ABA’s Disclosure Effectiveness Working Group, which is working with the SEC on the disclosure reform initiative led by the Division of Corporation Finance. As a member of the ABA’s Committee on Corporate Laws, Tom edited several editions of the ABA’s Corporate Director’s Guidebook. He is a frequent speaker at securities law conferences, including the Northwestern Law School Annual Securities Law Institute and programs sponsored by the Practising Law Institute, the American Bar Association, the Society of Corporate Secretaries and Governance Professionals, and the National Association of Corporate Directors.
Kiran Lingam was most recently General Counsel and VP of Business Development at SeedInvest, a leading equity crowdfunding platform, where he coordinated all legal functions, including due diligence, legal and regulatory strategy, venture capital and seed financing transactions, broker-dealer operations, and compliance and internal corporate governance. Prior to SeedInvest, Kiran worked as a corporate and securities attorney at the law firms of Jones Day and DLA Piper LLP, where he served as outside legal counsel to venture capital and private equity funds, angel groups, and over 30 technology startups. Kiran has written several of the seminal articles on new securities laws under the JOBS Act, including on Accredited Investor Crowdfunding (Title II), Retail Crowdfunding (Title III), and Regulation A (Title IV). Kiran is also a co-founder of TiE Angels NY, an angel investor group affiliated with The Indus Entrepreneurs (TiE), the world's largest non-profit organization dedicated to fostering entrepreneurship with 55 chapters and 10,000 members.
Cornell University, B.A
University of Georgia, J.D., with honors