- Corporate Law
- Securities Law
- Mergers & Acquisitions
- Mutual Funds
|Contact Info||Telephone: 215 979 1204|
Fax: 215 405 3863
|University ||Duke University, B.A., 2000|
|Law School||University of Pennsylvania Law School, J.D., 2003|
|Admitted||2003, Pennsylvania and New Jersey|
|Born||Philadelphia, Pennsylvania, February 10, 1978|
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
Honors & Awards
•Listed in Pennsylvania Super Lawyers Rising Stars, 2014
•Co-author, SEC Proposes Disqualifying Bad Actors from Rule 506 Offerings, Duane Morris Alert, June 6, 2011
|Reported Cases||Representative Matters: Independent counsel to the independent trustees of mutual funds and ETFs, including a fund group with assets under management in excess of $55 billion; Represented the independent trustees of a mutual fund in connection with the launch of a new multi-manager alternative strategies fund and continue to represent the independent trustees in connection with their oversight of such fund; Represented the independent trustees of a mutual fund in connection with the launch of a new commodities fund and continue to represent the independent trustees in connection with their oversight of such fund; Represented the independent trustees of an ETF complex in connection with the initial launch of the ETFs in 2008 and continue to represent the independent trustees in connection with their oversight of such funds; Represented the independent trustees of an emerging market ETF complex in connection with the initial launch of the ETFs in 2009 and continue to represent the independent trustees in connection with their oversight of such funds; Securities and general corporate counsel to publicly traded companies, including a Fortune 1000 company; Represented Lehigh Gas Partners LP (NYSE: LGP), a wholesale motor fuel distributor, in connection with its initial public offering; Represented an NYSE MKT-traded company in its agreement to acquire a majority equity interest in a full-service investment bank in exchange for the company's contribution of its $45 million equity interest in its broker-dealer subsidiary; Represented a leading NYSE-traded international REIT in its approximately $900 million acquisition of an NYSE-traded REIT; Represented a publicly traded manufacturing company in its acquisition of a privately held manufacturing company for approximately $60 million; Represented a privately held investment firm in its acquisition of a publicly held specialty finance company in an equity exchange; Represented an NYSE MKT-traded company in a debt-exchange transaction; Represented an NYSE-traded company in a follow-on offering of its common stock for a total capital raise of approximately $50 million.|
|Profile Visibility |
|#1,560 in weekly profile views out of 15,781 lawyers in Philadelphia, Pennsylvania|
|#133,404 in weekly profile views out of 1,587,858 total lawyers Overall|