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Profile Visibility  | | #106 in weekly profile views out of 2,861 lawyers in Raleigh, North Carolina | | #31,847 in weekly profile views out of 958,293 total lawyers Overall |
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| Practice Areas | Corporate & Business; Investment Management; Securities Compliance | | | Education | Campbell University, J.D., 1983, Duke University, B.A., Accounting, 1980 | | | Admitted | 1983, North Carolina; 1986, U.S. District Court, Eastern District of North Carolina; 1986, U.S. Supreme Court | |
| Memberships | Wake County Bar Association (President, Young Lawyers Division). | | | Biography | Tom Steed's practice focuses primarily on investment management, investment funds and corporate and M&A matters. Mr. Steed represents registered mutual funds, hedge funds, investment advisers and other private investment pools. Prior to joining the firm, he served as general counsel to a mutual fund administrator, where he worked with a number of registered mutual funds, hedge funds, government funds and other types of investment pools, assisting with offering and compliance matters and day-to-day operational needs. Mr. Steed also previously served as in-house counsel in the Legal Department at Hardee's Food Systems, Inc., where his responsibilities included handling corporate, real estate, litigation and marketing matters. Selected Experience · Extensive knowledge of the Investment Company Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934 and regulations of the National Association of Securities Dealers, Inc. He also is familiar with the Investment Advisers Act of 1940. · Assisted in the organization and startup of a number of registered mutual funds and non-registered hedge funds. Background and Professional Licenses · Certified Public Accountant (1983). · Research Editor for the Campbell Law Review during law school. · Rocky Mount Academy (Chairman, Board of Trustees). · Covenant Homes, Inc. (Member and Secretary, Board of Directors). · First Presbyterian Church of Rocky Mount (Deacon and Sunday School Teacher). · Wake County Bar Association, Young Lawyers Division (Past President). | | | ISLN | 903460864 | |
Documents by this lawyer on Martindale.com
Investment Companies May Provide Summary Prospectuses to 401(k) and Other ERISA Plans Offering Their FundsJeffrey T. Skinner, Thomas W. Steed, Adwoa M. Awotwi, Andrew B. Sachs, Matthew S. Chambers, September 25, 2009 On September 8, 2009, in Field Assistance Bulletin 2009-3, the U.S. Department of Labor (DOL) approved the use of "summary prospectuses" for mutual funds to satisfy prospectus delivery obligations of employee benefit plans, such as 401(k) plans. As a result, 401(k) and similar plans will...
Supreme Court Agrees to Hear Mutual Fund CaseJeffrey T. Skinner, Thomas W. Steed, Tanya L. Goins, Adwoa M. Awotwi, Andrew B. Sachs, Matthew S. Chambers, April 1, 2009 On March 9, 2009, the United States Supreme Court announced that it would hear the case of Jones v. Harris Associates, which will be the first case focused on a mutual fund industry issue to come before the Court in a number of years.
SEC Adopts Revisions to Form D And Mandates Electronic FilingJeffrey T. Skinner, Thomas W. Steed, Tanya L. Goins, Adwoa M. Awotwi, Andrew B. Sachs, Matthew S. Chambers, March 23, 2009 In September 2008, the Securities and Exchange Commission (the "SEC") adopted changes to Form D and Regulation D that: (1) simplify and restructure Form D and update and revise its information requirements, and (2) mandate the electronic filing of Form D through the Internet.
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