SARA VON ALTHANN focuses on a broad range of disclosure and regulatory matters, reporting obligations, corporate governance and compliance issues, and capital markets transactions critical to public companies, boards of directors and broker-dealers. She advises clients in their interactions with the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA) and exchanges, with respect to requests for no-action relief, interpretive guidance, reviews, regulatory requests, inquiries and investigations. Sara is a member of Sidley’s global Securities Enforcement and Regulatory practice, which received the 2019 Chambers USA Award for Financial Services Regulation.
Prior to joining Sidley, Sara spent nearly five years in the SEC’s Division of Corporation Finance, where she focused on disclosure operations. As a member of the office overseeing real estate (including equity REITs and mortgage REITs) and commodity pool disclosures, Sara analyzed complex disclosure issues that arose in filings made pursuant to the Securities Act of 1933 and the Securities Exchange Act of 1934, including in the context of IPOs, secondary offerings, mergers, spin-offs and other transactional filings, as well as annual reports, proxy statements and other ongoing disclosure obligations. She interfaced with issuers, their counsel and specialty offices within Corporation Finance and other divisions of the SEC, regarding legal issues and process, as well as business, timing and market concerns affecting the transactions and filings that were the subject of her reviews. Sara also spent one year as counsel to the Corporation Finance associate directors, focusing on implementation of the expanded draft registration statement review program, internal legal guidance for the disclosure review program and rulemaking matters.
Prior to joining the SEC in 2014, Sara spent an aggregate of six years working as an associate in the corporate and capital markets groups of two national law firms, with a focus on real estate capital markets.