H. Norman Knickle
Attorney-Adviser, U.S. Securities and Exchange Commission
BA, University of Rhode Island
JD, Quinnipiac University School of Law
LLM, Banking and Financial Law, Boston University School of Law
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H. Norman Knickle is an attorney-adviser in the Boston Regional Office of the U.S. Securities and Exchange Commission. The SEC oversees the key participants in the securities world, including securities exchanges, securities brokers and dealers, investment advisors, and mutual funds with a mission to protect investors, maintain fair, orderly, and efficient markets, and facilitate capital formation.
Since 2003, Mr. Knickle has conducted dozens of examinations and investigations of regulated persons and entities on behalf of the SEC that include the subjects of insider trading, financial fraud, and corporate governance.
Mr. Knickle was previously a member of the Rhode Island House of Representatives where he served on its Judiciary Committee. Mr. Knickle also previously practiced law in the private sector with a focus on business litigation. He has written three articles relating to business or securities law with one of them recently cited by the Ninth Circuit Court of Appeals and another cited by the Rhode Island Supreme Court. He currently serves as a member of the Quinnipiac University School of Law Dean’s Council, and is frequently a speaker at public forums regarding the federal securities laws.
He teaches Securities Regulation.
Securities Regulation: LAW BK 955
A survey and analysis of key problems arising under the Securities Act of 1933, the Securities Exchange Act of 1934, and the rules promulgated thereunder. These problems include the form and content of registration statements under the 1933 Act, liabilities of persons designated in Section 11 and 12 of the 1933 Act, the form and content of a typical Balance Sheet and Profit and Loss Statement, processing a registration statement, exemptions under the 1933 Act, the underwriter's liability, the control person's "distribution;" regulation of securities exchanges and broker- dealers, manipulation, stabilization, and "Hot Issues;" tender offers; and civil liabilities under rule 10b-5, section 14(a), and Section 16(b) of the 1934 Act.FALL 2016: LAW BK 955 A1 , Sep 7th to Dec 7th 2016
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