Education

J.D., Catholic University of America – Columbus School of Law (cum laude)
B.A., Economics, University of Wisconsin 

Kate L. Schneider

Biography

Kate L. Schneider is a trusted advisor and counselor to individuals and businesses in state and federal courts in Texas and beyond, with an emphasis on securities regulation compliance. In addition to working in the private sector, Ms. Schneider has experience working directly for federal agencies such as the U.S. Securities Exchange Commission and has also served in internships in the Offices of Enforcement and International Affairs of the Financial Industry Regulatory Authority.

Ms. Schneider’s acute attention to detail affords her the opportunity to work closely with her clients to ensure regulation compliance.  She has also designed and conducted internal investigations regarding corporate buy-outs, external audits, and firm valuations on behalf of companies who received SEC subpoenas or allegations of financial fraud.  Ms. Schneider routinely works with industry specialists’ investigations of financial service firm’s level of compliance regarding a variety of topics including applicable municipal bond, ALM, Bank Secrecy Act and Section 5 rules and regulations.

As a previous Attorney Advisor in the Division of Corporation Finance at the SEC, Kate was responsible for assessing the adequacy of corporate disclosures in registration and proxy statements, as well as periodic filings, evaluated compensation plans, and reviewed board decision-making in the context of proxy contests. Working directly for the federal agency provides Ms. Schneider with an intimate understanding of the agencies inner workings and expectations.

Publications

“A Tale of Two “Pauses”: The IRS’s Halt in Issuing Private Letter Rulings for MLPs and RICs”, Bloomberg BNA Tax Management Real Estate Journal (04/01/2015) (Contributed to the researching and drafting of this article.)

“Reforming Medicare-Financed Graduate Medical Education”, Journal of Contemporary Health Law and Policy (08/01/2014)

Admissions

  • State Bar of Texas
  • State Bar of the District of Columbia
  • State Bar of New York

Certifications
Series 7; Series 66; Insurance licensing in Life, Health, and Long-term Care and Disability (inactive)

Frisco Office

Ph (214) 472-2100
Fx (214) 472-2150
2600 Network Boulevard
Suite 400
Frisco, Texas 75034

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