James Rapp

James Rapp

Counsel, SEC Reporting and Compliance
James Rapp advises a variety of clients, including foreign private and domestic issuers and investors, private equity firms, hedge funds, investment advisers, and public company directors and officers, on regulatory, compliance and transactional matters.


Mr. Rapp’s practice particularly focuses on compliance and reporting under Section 16 and Sections 13(d), (f), (g) and (h) of the Securities Exchange Act of 1934, including structuring transactions and developing disclosure strategies related to such transactions. These matters include, among others, initial public offerings of portfolio companies, spin-offs, SPACs, merger and PIPE-related activities, derivative transactions and significant secondary sales. Mr. Rapp also advises public company directors and officers on Section 13 and 16 issues related to tax and estate planning matters, as well as tax-exempt organizations and family offices on Section 13 and 16 issues and filings. Additionally, he counsels clients on responses to claims for short-swing profits under Section 16, Rule 144 sales and Rule 10b5-1 trading plans.

Mr. Rapp previously worked in the New York office of another global law firm, where he also advised on other compliance matters, including conflict minerals. He also was one of the leaders of the shareholder activism group at another global law firm, advising clients regarding activist positions, strategies and proxy contests.



  • J.D., Fordham University School of Law, 1998 (Associate Editor, Fordham Intellectual Property, Media & Entertainment Law Journal)
  • A.B., Duke University, 1994


  • New York


  • Board of Trustees, Big Brothers Big Sisters of NYC

James Rapp

Counsel, SEC Reporting and Compliance