Allen Kogan

ALLEN KOGAN advises financial services firms, fund advisers, investment funds, public companies, foreign private issuers, banks, and broker-dealers on a wide range of securities regulatory, compliance, enforcement, and transactional matters.  

Allen works extensively with clients on compliance with U.S. Securities and Exchange Commission (SEC) requirements and related liabilities, including long- and short-position disclosure requirements under Sections 13 and 16 of the Securities Exchange Act of 1934 (Exchange Act), transactions in restricted and control securities under Rule 144 of the Securities Act of 1933, and other related rules and regulations. He also assists public company and investment bank clients with Financial Industry Regulatory Authority (FINRA) regulatory inquiries and related compliance requirements. 

Allen has counseled numerous public company clients on establishing and executing internal processes for compliance with SEC beneficial ownership disclosure requirements for directors and officers, addressing errors and material deficiencies in prior SEC disclosures, and compliance with issuer registration requirements under Section 12(g) of the Exchange Act. He has also represented securities and asset-management industry trade associations with respect to interpretive guidance on compliance with Municipal Securities Rulemaking Board disclosure requirements, comment letters submitted to the SEC relating to rulemaking under Regulation SHO and Rule 13(f)-2 of the Exchange Act, and various other disclosure regulations.

Prior to joining Sidley, Allen served as a law clerk at the U.S. Department of Justice and as a judicial intern for the Honorable Joan M. Azrack of the U.S. District Court for the Eastern District of New York. While attending law school, he served as the managing editor of the American University Business Law Review and received multiple awards for oral argument as a member of the Moot Court Honor Society. Prior to law school, Allen worked as a senior paralegal in the antitrust litigation practice of a leading global law firm.