Benjamin Nager

Ben Nager has almost 30 years of experience in providing regulatory advice to investment banking and fund management clients under the federal and state (Blue Sky) securities laws and FINRA's Corporate Financing rules. He has coordinated thousands of notice filings with the SEC and the states for all types of fund structures and other private offerings. Ben leads the group at Norm that is responsible for the preparation of Form D notice filings with the SEC and applicable state securities regulators, through the EDGAR and EFD filing systems, in respect of public and private offerings conducted pursuant to Rule 506 under the Securities Act of 1933.

Ben has assisted numerous investment banking clients in navigating the approval process from FINRA for initial public offering and secondary offerings by real estate investment trusts (REITs), banks, corporate entities, commodity ETFs and commodity pools, in transactions ranging from hundreds of millions of dollars to several billion dollars in capital raised.

Ben has spearheaded several 50-state remediation projects on behalf of institutional clients involving regulation and exemption issues. These projects have included (i) large-scale reviews of thousands of trades for exemptions available; (ii) rescission offer coordination under state securities laws, (iii) remedial filings across multiple states and (iv) outreach with numerous state securities regulators to resolve these issues.

In addition, Ben routinely provides advice to broker-dealers and investment advisers on registrations, exemptions and notice filings under state securities and insurance securities laws.

J.D. University of Michigan Law School 1996

B.A., with High Honors in Economics Binghamton University 1993

New York