Chad J. Rubin
represents independent trustees of mutual funds and exchange traded funds (ETFs). He advises independent trustees with respect to their duties under the Investment Company Act of 1940 and state law. In this regard, he provides advice on a full range of matters, including governance, regulatory and compliance, contract approvals and disclosure issues. Mr. Rubin regularly counsels independent trustees with respect to industry best practices.
Mr. Rubin also has experience representing public and private companies in connection with their capital-raising activities, including public offerings and private placements of equity and debt securities. He also advises companies with respect to SEC regulations, compliance issues and other corporate and securities law matters, such as public reporting, Sarbanes-Oxley compliance and communications with analysts and investors. He has substantial experience representing public and private companies in selling and acquiring businesses.
Mr. Rubin is a 2003 graduate of the University of Pennsylvania Law School and a 2000 graduate of Duke University (B.A.).
•Duane Morris LLP
- Partner, 2012-present
• Associate, 2009-2011
• Associate, 2003-2009
•Philadelphia Regional Port Authority
• Board Member, October 2004-October 2009
Honors & Awards
•Listed in Pennsylvania Super Lawyers Rising Stars, 2014-2016
•Contributor, Duane Morris Capital Markets Blog
•Co-author, SEC Proposes Disqualifying Bad Actors from Rule 506 Offerings, Duane Morris Alert, June 6, 2011