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Overview
Introduction
Lloyd is widely recognized for navigating complex U.S. securities laws, and representing non-U.S. issuers in their offerings into the U.S.
Lloyd Harmetz focuses on public offerings and private placements of debt and equity securities. Lloyd is particularly active in representing financial institutions in connection with their offerings of structured products linked to a variety of underlying assets, and representing non-U.S. issuers in connection with their offerings into the U.S. In his work relating to debt capital markets, he has worked with issuers to create and manage a variety of offering programs for debt securities and structured products, including U.S. and European medium-term note programs, Rule 144A programs, structured CD programs, bank note programs and structured warrant programs.
Lloyd’s work has included a substantial number of exchange traded notes and other products linked to new and innovative indices. Lloyd frequently advises issuers in connection with distribution agreements relating to their sales of securities through a variety of counterparties, and advises clients as to the FINRA rules that apply to their offerings.
In connection with his work for non-U.S. issuers, Lloyd has previously been based with his prior firm in Tokyo, Hong Kong, Beijing and Tel Aviv.
Lloyd is admitted to the New York State Bar.
Ashurst LLP, New York, NY, is responsible for content in the US.
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Nasdaq Adopts New "Fast Entry" Rule for the Nasdaq-100 Index
April 16, 2026
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Questionable Regulation S Sales of Structured Products Result in FINRA Fine
April 13, 2026
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FINRA Enforcement Signals Higher Bar for Complex Product Supervision Under Reg BI
March 17, 2026
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SEC Adopts Rules and Exemptions Relating to Section 16 Reporting
March 09, 2026
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FINRA proposes updated protection rules for accountholders
January 20, 2026
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U.S. legislation enacted to extend insider reporting to foreign private issuers
January 05, 2026
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Proposed U.S. legislation to extend insider reporting to foreign private issuers
December 17, 2025
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FINRA issues investor insight on non-traditional indices
August 12, 2025
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FINRA Structured Note Arbitration Highlights Risk of Punitive Damages
April 10, 2025
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Disclosure Practices in Unregistered Structured Product Offerings
March 20, 2025
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Decrement Indices – An Introduction
January 07, 2025
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SEC Files Charges for Failures to Effect Form D Filings
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