Carolyn L. Duncan
Recognized since 2007
Birmingham, Alabama
Banking and Finance Law
Corporate Compliance Law
Corporate Law
Financial Services Regulation Law
Securities / Capital Markets Law
Securities Regulation
Carolyn Duncan’s practice is concentrated in securities issuance and compliance matters. Experienced in a wide variety of public and private securities work, she represents issuers, underwriters, and other parties in numerous facets of this area of law, including public and private offerings of securities, registration and continuous disclosure matters, proxy solicitations, tender offers, business combinations, restricted securities and transactions by corporate insiders. She represents securities broker-dealer firms, banks, mutual funds, fund managers and investment advisors in connection with state and federal securities law matters and NASD, NYSE, MSRB and other regulatory and self-regulatory organization compliance.
Ms. Duncan has served since 1991 as the Alabama State Liaison to the American Bar Association State Regulation of Securities Committee, and has been involved, either as the primary drafter or as a member of the Alabama Law Institute’s Securities Committees, in every significant revision to the Alabama Securities Act since 1978. She has been an elected member of the Alabama Law Institute since 1992. A member of the Alabama and Birmingham Bars, she is admitted to practice in the Fifth and Eleventh Circuits. She is also a frequent speaker and lecturer on securities law. Ms. Duncan was recently selected to Membership of the Alabama Law Institute to write and review legislative bills for the State of Alabama, for the term ending in 2016.
- E-mail: carolyn.duncan@phelps.com
- Lawyer Page: https://www.phelps.com/carolyn-duncan
- 2025 3rd Avenue North, Suite 1000
Birmingham, AL 35203
- University of Montevallo, MME, graduated 1975
- University of Montevallo, BM, graduated 1971
- Alabama, Alabama Bar Association
178 The Best Lawyers in America® awards
21 Best Lawyers: Ones to Watch® in America awards
- Securities Regulation, Birmingham (2023)
- Securities Regulation, Birmingham (2021)
- Securities Regulation, Birmingham (2017)
- Corporate Compliance Law, Birmingham (2016)
- Securities / Capital Markets Law, Birmingham (2015)
- Banking and Finance Law
- Corporate Compliance Law
- Corporate Law
- Financial Services Regulation Law
- Securities / Capital Markets Law
- Securities Regulation
- Acquisition Finance
- Broker-Dealer
- Capital Markets
- Corporate
- Corporate Governance
- Disclosure
- Enforcement
- Finance
- Investment
- Investment Management
- Joint Ventures
- Mergers & Acquisitions
- Private Equity
- Regulatory
- Securities
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