Tyler Rosen advises clients on government affairs compliance matters at the federal, state and local levels, including in the areas of pay-to-play, campaign finance, lobbying, gifts and entertainment, and conflicts of interest. He also advises on the placement agent rules and policies of state and local public pension systems.
Mr. Rosen has assisted many clients from a range of industries, but with a particular focus in the financial services sector, in developing comprehensive policies for complying with these laws and rules. He advises clients on the implementation and application of these policies and on the many issues that arise in this area, including under SEC Rule 206(4)-5, MSRB Rule G-37 and CFTC Rule 23.451.
As shareholder activists push public companies to disclose increasing levels of information about their political activity, Mr. Rosen counsels clients on responding to those shareholders and, when necessary, developing appropriate disclosure policies. He also advises clients on the political law implications of corporate mergers and spin-offs.
Mr. Rosen also represents clients before federal, state and local government regulators and investigators. Some of these engagements include seeking and obtaining exemptive relief from a federal pay-to-play rule, defending a client named in a complaint before the Ohio Elections Commission and advising a client whose records were requested by the Office of Congressional Ethics. In addition, Mr. Rosen maintains frequent contacts with the federal, state and local agencies that enforce and interpret these laws.