Bradley Berman

Bradley Berman represents domestic and non-US issuers on domestic and international securities offerings of structured products linked to equities, commodities, interest rates, currencies and other underlying assets. Bradley has extensive experience with exchange-traded notes. He advised Royal Bank of Canada and RBC Capital Markets LLC on the first exchange-traded note issued by a Canadian issuer into the United States and has since advised Royal Bank of Canada and another Canadian issuer on multiple exchange-traded notes. He also represented a large non-US frequent issuer on all of their exchange-traded notes for three years. Bradley regularly advises issuers and dealers on the creation of proprietary indices. Bradley represents issuers on their shelf registration statements and medium term note programs and issuances exempt from registration under Regulation S, Rule 144A or Section 3(a)(2). He has worked on many bank note issuances by state and national banks. Bradley also advises broker-dealers on the FINRA communication rules and suitability issues. His work previously involved capital-raising debt and equity transactions for large bank holding companies, including several common stock issuances. He has extensive experience with negotiating underwriting, distribution and dealer agreements and related deal documents, including indentures.

Recently, Bradley advised an issuer on establishing a registered structured warrant program, including post-effectively amending their registration statement to add a new class of warrants and drafting the issuer's first warrant indenture.

Bradley regularly advises large financial institutions on transitioning their medium-term and other rates-linked programs from LIBOR to SOFR, including setting up their programs with the latest SOFR interest rate provisions.

Bradley is co-author of Considerations for Foreign Banks Financing in the United States (2012; updated 2014, 2016), published by International Financial Law Review. The IFLR1000 2024 guide ranks him as an “Expert Consultant” for Capital Markets: Derivatives in the US. He is also ranked by Chambers USA 2024 for Capital Markets: Structured Products. The Legal 500 US recommends Brad as a key lawyer for Structured Finance: Derivatives & Structured Products.

• Fordham Universität, JD
• Rochester Institute of Technology, BFA

• New York
• Connecticut