PROFESSIONAL PRESENTATIONS AND PUBLICATIONS
G. PHILIP RUTLEDGE

Professional Presentations

“Community Bank Equity and Debt Offerings Update,” Bybel Rutledge LLP 2016 SEC Seminar, Hershey, PA (November 2015)

"State Registration of Investment Advisers," PLI Investment Advisor Regulation, New York City, NY (July 2015)

"State Regulation of Broker-Dealers and Agents," PLI Fundamentals of Broker-Dealer Regulation 2015, New York City, NY (June 2015)

"Basel III and Capital Raising," Bybel Rutledge 2015 M&A and Capital Raising Seminar, Hershey, PA (June 2015)

"Review of Community Bank Equity and Debt Offerings," Bybel Rutledge LLP 2015 SEC Seminar, Hershey, PA (November 2014).

"State Registration of Investment Advisers & Investment Adviser Representatives," PLI-Fundamentals of Investment Adviser Regulation 2014, New York City, NY (July 2014).

"State Registration of Broker-Dealers," PLI-Fundamentals of Broker-Dealer Regulation 2014, New York City, NY (June 2014).

"State Registration of Investment Advisers & Investment Adviser Representatives," PLI-Fundamentals of Investment Adviser Regulation 2014, New York City, NY (July 2014).

"State Registration of Broker-Dealers," PLI-Fundamentals of Broker-Dealer Regulation 2014, New York City, NY (June 2014).

"D&O Insurance: What’s In Your Wallet?" 2014 Directors Institute, Hershey, PA (March 2014)

"Trends in Capital Raising: New General Solicitation and Bad Actor Rules for 506 Offerings," Hershey, PA (November 2013)

“Avoiding Pitfalls in D&O Insurance,” Pennsylvania Bar Institute Business Lawyers Institute, Philadelphia, PA (November 2013)

"2013 SEC Comments on Compensation Disclosure and Pay Ratio Disclosure Proposed Rules," Hershey, PA (November 2013)

“Legal and SEC Update,” PICPA Financial Institutions Conference, King of Prussia, PA (September 2013)

"State Regulation of Broker-Dealers," PLI - Fundamentals of Broker-Dealer Regulation, New York City, NY (June 2013).

"Avoiding Pitfalls in D&O Insurance," 2013 Directors Institute, Harrisburg, PA (June 2013).

"Avoiding Pitfalls in D&O Insurance," PACB Directors Conference, Hershey, PA (June 2013).

“Current Issues in Directors and Officers Liability Insurance,” Bybel Rutledge LLP 2013 SEC Seminar, Hershey, PA (November 2012).

“JOBS Act: New Capital Raising Rules, Avenues and Opportunities,” PBI Business Law Institute, Philadelphia, PA (November 2012).

“Legal and SEC Update," PICPA 2012 Financial Institutions Conference, Harrisburg, PA (September 2012).

“State Regulation of Broker-Dealers,” PLI’s Fundamentals of Broker-Dealer Regulation 2012 Seminar, New York City, NY (June 2012).

“Successful Capital Raising in a Difficult Environment,” Bybel Rutledge LLP 2012 M&A and Capital Raising Seminar, Hershey, PA (June 2012).

“Capital Raising Options,” Bybel Rutledge LLP 2012 SEC Seminar, Hershey, PA (November 2011).

“Securities Law for the General Practitioner,” Lunch ‘N Learn Program Lycoming County Bar Association, Williamsport, PA (April 2011)

"Trends in Private Placements," Bybel Rutledge LLP 2011 SEC Seminar, Hershey, PA (November 2010).

"Securities Law 101:  A Primer for the General Practitioner,” Dauphin County Bar Association, Harrisburg, PA (October 2010).

“Wealth Management and Consumer Financial Bureau,” PBA Legal, Regulatory and Reform Seminar, Harrisburg, PA (October 2010).

“The Limits of Criminal Law in Policing Integrity,” 28th Cambridge International Symposium on Economic Crime, Jesus College, Cambridge, UK (September 2010).

“Insiders and Conflicts of Fiduciary Duties” and “Integrity of Corporate Financial Reporting,” Companies Commission of Malaysia, Kuala Lumpur (June 2010).

“Enterprise Risk Management,” Greater Pittsburgh Compliance Roundtable, Pittsburgh, PA (April 2010).

“Law Enforcement and AML,” Florida International Bankers Association, 2010 Annual Conference, Miami, FL (February 2010).

“Planning, Preparing for and Conducting This Year’s Annual Meeting,” 2010 Bybel Rutledge LLP SEC and Corporate Governance Conference, Hershey, PA (November 2009).

“Raising Capital: Now More Than Ever,” 2009 Business Lawyers’ Institute, Pennsylvania Bar Institute, Philadelphia, PA (November 2009).

“Private Offerings – The Range of Available Private Offering Distribution Methods and Securities,” Bybel Rutledge LLP Capital Raising Conference, Hershey, PA (September 2009).

“Promoting and Protecting Integrity and Stewardship in Business,” 27th Cambridge International Symposium on Economic Crime, Jesus College, Cambridge, UK (September 2009).

“The New Regulatory Landscape: US Proposals,” 27th Cambridge International Symposium on Economic Crime, Jesus College, Cambridge, UK (September 2009).

“Criminal Penetration of Financial Institutions,” 27th Cambridge International Symposium on Economic Crime, Jesus College, Cambridge, UK (September 2009).

“Insider Crime and Abuse,” 27th Cambridge International Symposium on Economic Crime, Jesus College, Cambridge, UK (September 2009).

“Control Liability: Putting Responsibility Where it Matters – US Perspective,” 27th Cambridge International Symposium on Economic Crime, Jesus College, Cambridge, UK (September 2009).

“Government Oversight of M&As – Where is it Going?” 2009 Bybel Rutledge LLP Mergers and Acquisitions and Corporate Governance Conference, Hershey, PA (June 2009).

“Federal and State Regulation of Securities,” Greater Pittsburgh Area Compliance Roundtable, Pittsburgh, PA (April 2009).

“Focusing on the Future: Trends in Corporate Governance,” 2008 PBI Business Lawyers’ Institute, Philadelphia, PA (November 2008).

“Treasury Capital Purchase Program and FDIC Temporary Liquidity Guarantee Program,” 2009 Bybel Rutledge LLP SEC and Corporate Governance Seminar, Hershey, PA (November 2008).

“Insider Trading Policies,” 2009 Bybel Rutledge LLP SEC and Corporate Governance Seminar, Hershey, PA (November 2008).

“Handling Suspicions of Fraud, Financial Crime and Corruption: Role of Counsel to Banks,” 26th Cambridge International Symposium on Economic Crime, Jesus College, Cambridge, UK (September 2008).

“The Role of Regulators in the Prevention and Control of Financial Crime,” 26th Cambridge International Symposium on Economic Crime, Jesus College, Cambridge, UK (September 2008).

“Update on SOX 404 and Option Backdating,” Bybel Rutledge LLP 2nd Annual SEC Seminar, Hershey, PA (November 2007).

“Compliance: Sword or Shield,” 25th Cambridge International Symposium on Economic Crime, Jesus College Cambridge, UK (September 2007).

“SOX Whistleblower Developments,” Bybel Rutledge LLP 1st Annual SEC Seminar, Hershey, PA (November 2006).



Books
Co-Author, Pennsylvania Securities Law: Civil and Administrative Liability, PBI Press (2005).

Principal Author, Rutledge and Haines: Electronic Markets, Tottel Publishing, London (2001).

Author, Compendium of Pennsylvania Securities Law, 2d Edition, 1994, (Annual Suppl. 1995-2004).



Chapters in Books
“State Law Aspects of Sarbanes-Oxley,” Sarbanes Oxley Handbook, Second Edition, ABA Publishing (to be published in 2009).

Chapter Entitled "Tracing of Assets: US Criminal and Regulatory Law, " International Tracing of Assets, FT Law & Tax (UK) (Supp. 1997, 1998, 1999).

"Insider Conflicts in US and Japan - An American Perspective," The Fiduciary, the Insider and the Conflict, Brehon Sweet & Maxwell (UK), 1995.



Articles in Professional Journals

"Overview of Crowdfunding in the US," The Company Lawyer, Vol. 36, No. 8 (July 2015) at 244.

“Corporate Governance and Shareholder Power,” The Company Lawyer, Vol. 25, No. 9 (August 2004) at 258.

“Mind the Gap: Can Company Law Keep Pace with Technology,” The Company Lawyer, Vol. 21, No. 2 (January 2000) at 62.

“The Internet, Investors and Financial Markets,” European Financial Services Law, (November/December 1998) at 272.

“The Internet and US Financial Markets,” Journal of Financial Crime, Vol. 6, No.2 (October 1998) at 129.

“The Internet and US Financial Markets,” Dickinson Journal of International Law, Vol. 16, No. 3 (Spring 1998) at 1.

“NSMIA One Year Later: The States’ Response,” The Business Lawyer, Vol. 53, No. 2 (February 1998) at 563.

"Internet and US Financial Markets," European Financial Services Law, (November/December 1997) at 1.

"Corruption in the U.S. Financial Markets: Recent Developments," Journal of Financial Crime, Vol. 5, No. 1 (August 1997) at 75.

"Bank Secrecy Laws: An American Perspective," Dickinson Journal of International Law, Vol. 14, No. 3 (Spring 1996) at 601.

"The Murderous Aspect of Securities Fraud," Journal of Financial Crime, Vol. 3, No. 1 (July 1995) at 116.

“Review of Developments in State Securities Regulation- ‘The Exchange Exemption,’” The Business Lawyer, Vol. 51 (November 1995) at 298.

"Registration of Securities Offerings," The Business Lawyer, Vol. 49 (November 1993) at 432.

"Congress Increases Civil Penalties for Insider Trading," The Company Lawyer, Vol. 10, No. 3 (1988) at 82. .