Thomas Yang Email & Phone Number

Charlotte, Nc, Us

• Managing Director & Associate General Counsel at Bank of America.• Since 2005, I have managed the global team of attorneys that covers BofA’s Equity Capital Markets desks worldwide.• From 2012 to 2017, member of the Legal Department’s Diversity & Inclusion Business Council (DIBC). Recipient of the company’s 2017 Global Diversity & Inclusion Award — see “Honors & Awards” below.• Member of the Legal Department’s Practice Group Review Panel (PGRP), which reviews corporate and legal title promotions.• Focus on capital markets transactions, as well as U.S. and international regulatory and policy matters affecting the securities industry.• Chair of the SIFMA Primary Markets Committee and former chair of the FINRA Corporate Financing Committee — see “Organizations” below.• Frequent speaker at Practising Law Institute (PLI) programs, including PLI’s Annual Institute on Securities Regulation — see “Publications” below.• Guest lecturer at the University of Chicago Law School, Yale Law School and Cornell Law School.

New York, N.Y., Us

• On November 1, 2018, the Securities Industry and Financial Markets Association (SIFMA) streamlined its committee structure and the Capital Markets Committee was renamed the Primary Markets Committee and reports into the Capital Markets Subcommittee, one of six Board of Directors subcommittees.• Since 2004, I have served as a member of the Primary Markets Committee, first representing Credit Suisse, and later Bank of America, on the committee.• Since January 2012, I have had the pleasure of serving as the chair of this committee.• The Primary Markets Committee focuses on regulatory and legislative proposals that impact corporate finance or capital market activities of member firms, including underwriting, syndication, mergers and acquisitions and research.• Notable examples include: Securities Offering Reform (2005), the SEC's amendments to Regulation M, Rule 105 (2007), creation of block trade guidelines (2008), the creation of a “model” Master Agreement Among Underwriters (2009), FINRA Rule 5131 (2011), the JOBS Act (2012), the Volcker Rule (2013), the EU Market Abuse Regulation (MAR) (2016), the T+2 settlement cycle (2017), and Markets in Financial Instruments Directive (MiFID II), the new FinCEN CDD rule (2018) and FINRA Rule 5110 amendments (2019).

Washington, District Of Columbia, Us

From 2006 to 2024, I was honored to serve on FINRA’s Corporate Financing Committee as BofA’s representative. From 2022 to 2024, I was appointed chair of the committee for a three-year term.The Corporate Financing Committee is comprised of senior representatives of FINRA member firms. The committee advises FINRA on regulatory and public policy issues arising from firms’ capital-raising activities. Committee members typically have capital markets, investment banking, and legal and regulatory compliance experience and are familiar with underwriting terms and distribution arrangements in public and private securities offerings. The committee provides FINRA with industry perspectives on offerings of corporate equities, debt, closed-end investment companies, real estate investment trusts and direct participation programs, and related regulatory requirements.

Zurich, Ch

• Senior capital markets attorney covering a broad range of SEC-registered and exempt securities offerings including equity, convertible/exchangeable securities, equity-linked derivative products, investment-grade debt and asset-backed securities.• Deal-coverage responsibilities included supervision of outside counsel and preparation and negotiation of various deal documentation, including engagement letters, confidentiality agreements, underwriting and placement agency agreements, registration rights agreements, lock-ups, legal opinions and accountant’s comfort letters.• Held primary responsibility within CSFB for maintaining the bank’s form agreements and style guide.• Served as counsel to CSFB’s Investment Banking Committee (commitments committee).• Represented CSFB on the SIA Capital Markets Committee.• Primary in-house counsel on Google’s 2004 IPO.

Chicago, Illinois, Us

New York, New York, Us

New York, Ny, Us

J.D.

B.A., Political Science

Education record