Kevin Roggow

Member

Kevin focuses his practice in the areas of capital markets and securities, compliance, and corporate governance. Kevin represents issuers and investment banks in a broad range of public and private capital markets transactions, including investment grade and high-yield debt offerings, equity offerings, acquisition financings, cross-border securities offerings, and liability management transactions. In addition, he advises companies on corporate governance, securities compliance, periodic and current filings with the Securities and Exchange Commission, annual meeting and proxy matters, investor relations, compliance with stock exchange listing standards, and general corporate matters.

Kevin has advised clients in a wide range of industries, including technology, financial services, consumer products, mining, oil and gas, media and telecommunications, energy, and general industrials.

From 2021 through 2022, Kevin was a director and assistant general counsel for a publicly traded company where he advised executive management and the board of directors on corporate governance, public reporting, stock exchange compliance, investor relations, stock administration, and other matters. Prior to that, Kevin was a counsel at an international law firm where he focused on capital markets transactions, corporate governance, mergers and acquisitions, and other corporate financing transactions.

Kevin earned his bachelor's degree, magna cum laude, from Syracuse University. Kevin earned his MBA from Syracuse University, Martin J. Whitman School of Management, and his law degree, magna cum laude, from Syracuse University, College of Law.

Experience

Publications

One Year with the Listed Issuer Financing Exemption [Alert]

November 30, 2023

Alexander Katznelson, Kevin Roggow, Zachary Janes, and Dilina Lallani discuss the requirements for issuers to rely on the LIFE Exemption, including qualification criteria, offering parameters and disclosure requirements, and provides commentary on how the rules have been applied over the past year.

SEC Adopts Final Rules on Cybersecurity Risk Management, Strategy, Governance and Incident Disclosure

July 27, 2023

Cozen O’Connor’s multidisciplinary Technology, Privacy & Data Security practice discusses the new rules, their reporting requirements, and when they go into effect.

SEC Adopts Final Rules for Share Repurchase Disclosure [Alert]

May 04, 2023

On May 3, 2023, the SEC adopted final rules that significantly increase insurers' disclosure obligations.

SEC Adopts New Approach to Rule 10b5-1’s Affirmative Defense to Insider Trading and Related Matters

January 24, 2023

Naz Jalali, Kevin Roggow, and Paul D. Hallgren discuss the recently adopted amendments to Rule 10b5-1 under the Securities Exchange Act by the Securities Exchange Commission in The Legal Intelligencer.

SEC Adopts Amendments to Affirmative Defense to Insider Trading

December 16, 2022

The rule provides an affirmative defense to trading on the basis of MNPI pursuant to plans that are intended to meet the conditions of Rule 10b5-1.

SEC Finds 10b5-1 Trading Plan was Misused, Charges Tech Company Executives with Insider Trading [Alert]

September 29, 2022

The SEC found that tech company executives' 10b5-1 plan did not shield them from insider trading liability.

Court of Appeals Hears Arguments in Nasdaq’s Board Diversity Rules Case

September 13, 2022

The Fifth Circuit Court of Appeals heard oral arguments in a case against the SEC seeking to invalidate Nasdaq’s board diversity rule.

SEC Adopts Pay vs. Performance Disclosure Rules [Alert]

August 30, 2022

The SEC recently adopted final disclosure rules implementing the pay vs. performance requirement of the Dodd-Frank Act for public companies.

Events & Seminars

Upcoming Events

Nuts and Bolts of Cross-Listing in the United States

April 24, 2024 - Webinar

This webinar will provide an overview of the considerations and process involved in listing on a US stock exchange for non-US companies.

Past Events

Listed Issuer Financing Exemption Information Session

November 08, 2022 - Vancouver, BC

Education

  • Syracuse University, J.D., magna cum laude, 2005
  • Syracuse University, M.B.A., 2005
  • Syracuse University, B.A., magna cum laude, 2001
  • New York