Steven B. Boehm: Lawyer with Sutherland Asbill & Brennan LLP

Steven B. Boehm

Steven B. Boehm
Washington,  DC  U.S.A.

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AV® Preeminent

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Practice Areas

  • Financial Services
  • Capital Markets & Investments
  • Mutual Funds
  • Investment Adviser
  • Broker-Dealer
  • Business Development Companies
  • Private Capital
  • Private Investment Funds
  • Mergers & Acquisitions
  • Insurance
  • Insurance Products
Contact InfoTelephone: 202.383.0176
Fax: 202-637-3593
University Rutgers College, B.A., cum laude Phi Beta Kappa
Law SchoolRutgers University Law School, J.D. Phillip J. Levin Scholar
Admitted1978, New Jersey; 1982, District of Columbia
BornNew York, New York, May 22, 1954

Nationally recognized as an authority on business development companies (BDCs), Steve Boehm guides his clients in successfully navigating the intricate rules and regulations of the U.S. Securities and Exchange Commission (SEC), especially the Investment Company Act of 1940 and its 1980 amendments. Steve and his team represent many of the nation's largest BDCs, and he advises on a broad range of legal matters and transactions, including initial public offerings (IPOs).

Steve began his career at the SEC, serving in the Enforcement Division and on the Executive Staff, and that insider perspective and knowledge inform his work today. He advises clients on establishing and operating public and private open- and closed-end investment funds, and he also assists clients in developing structural alternatives for taking private equity investment opportunities to public investors. Steve is recognized as a leading authority on the organization and operation of Section 529 college tuition savings plans. He has served two terms on Sutherland's Executive Committee and also leads the firm's Capital Markets & Investments Team.

Selected Experience

Sutherland represents Goldman Sachs & Co., Wells Fargo Securities and Morgan Stanley in connection with New Mountain Finance Corp.'s $100 million IPO.

Sutherland represents BDC before the SEC in an exemptive relief matter.

Sutherland advises Stellus Capital Investment Corporation in initial public offering.

Awards and Rankings

Recognized by Chambers USA: Guide to Leading Business Lawyers in the area of investment funds - registered funds (2008-2015)

Recognized as “Lawyer of the Year” by The Best Lawyers in America in the area of private funds/hedge funds law (2016)

Named to The Best Lawyers in America in the areas of corporate law (2005-2016), mutual funds law (2005-2016), private funds law (2005-2014), securities law (2005-2011), private funds/hedge funds (2012-2016), securities/capital markets (2012-2016), and securities regulation (2012-2016)


Documents by this lawyer on

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New NYSE Notification Rules - How to Ensure Your Company Complies with the Updated Timely Alert Policy
Steven B. Boehm,Cynthia M. Krus,Lisa A. Morgan,Harry S. Pangas,Payam Siadatpour, October 8, 2015
On September 28, 2015, the revised New York Stock Exchange (NYSE) requirements relating to the circulation of material non-public information by listed companies, and updated procedures relating to trading halts, became effective. These rules and procedures on the dissemination of material news by...

Volcker Agencies Provide Seeding Period Guidance for BDCs, RICs and FPFs in New FAQ
Brian Barrett,Steven B. Boehm,Harry S. Pangas,John Allen Zumpetta, July 22, 2015
On July 16, 2015, the agencies responsible for implementing the Volcker rule (Agencies) issued FAQ 16, which provides guidance on the circumstances under which a seed investment would not cause (i) a registered investment company (RIC), (ii) a business development company (BDC) that has elected to...

SEC Proposes Disclosure Rules on Director, Officer and Employee Hedging
Steven B. Boehm,James M. Cain,Cynthia M. Krus,John J. Mahon,Lisa A. Morgan, June 10, 2015
In April 2015, the comment period expired for rules proposed by the U.S. Securities and Exchange Commission (the SEC) to implement Section 955 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act).1 These proposed rules (the Proposed Rules)2 would require disclosure...

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Office Information

Steven B. Boehm

700 Sixth Street NW, Suite 700
WashingtonDC 20001-3980


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