About
Harry S. Pangas has more than 20 years of securities regulatory and capital markets experience. He represents business development companies (BDCs), registered closed-end funds (CEFs), private investment funds, blockchain and cryptocurrency companies, and other financial services firms. He began his career at the SEC in the Division of Corporation Finance. He counsels BDCs and CEFs on regulatory and compliance matters under the Investment Company Act of 1940 and the Investment Advisers Act of 1940. He serves as independent counsel to independent directors of the nation’s largest BDC and has been involved in strategic transactions and proxy contests. He advises public companies on SEC reporting obligations, Section 16 compliance, Rule 10b5-1 plans, Sarbanes-Oxley Act, Form S-8, Rule 144, proxy statement and executive compensation disclosure, and NYSE and Nasdaq governance requirements. He also represents issuers and investment firms in capital markets transactions.
Practice areas
Office
Expertise
Education
- Syracuse University, B.A., cum laude
- Tulane University Law School, J.D., cum laude