Egon Guttman

Professor of Law
Levitt Memorial Trust Scholar Emeritus

Office: 4301 50th St. - Suite 310
Phone: 202-274-4213
E-mail: vCard


Egon Guttman has practiced and taught in Universities in England, Canada, Israel and the Sudan. His present position is Professor of Law and Levitt Memorial Trust Scholar, Emeritus. He holds expertise in corporate and commercial law, especially securities regulation and broker-dealer customer relations. His expertise in commercial law includes sales, secured transactions, negotiable instruments and other payment devices such as letters of credit and bank collection. As a member of the American Law Institute (ALI) and the American Bar Association (ABA), Professor Guttman has been involved in the revisions of various Articles of the Uniform Commercial Code, and as a member of U.S. Department of State Working Groups in the drafting of conventions relating to international commercial transactions. One of the areas of his expertise is in problems of international aspects of capital raising. He is fluent in German. His practice experience involved work with the SEC(Office of the General Counsel and Division of Enforcement) Professor Guttman is the author of Modern Securities Transfers, Volume 28 & 28A of the Securities Law Series (Thomson-West Publications (updated to 2009) and of two recent case books: Secured Transactions Under the Uniform Commercial Code and International Commerce (Anderson Publishing Company, 2002) and Sales Under the Uniform Commercial Code and the International Convention on the Sale of Goods (Lexis-Nexis 2006).



Currently Teaching

There are no classes currently associated with this professor.

Areas of Specialization

  • Business Associations / Corporations
  • Commercial and Related Consumer Law
  • International Business Law

Degrees & Universities

  • LL.M., University of London 1952
  • LL.B., University of London 1950

  • Selected Publications

    • Egon Guttman, Modern Securities Transfers (4th ed., West Group 2010).
    • + More Publications...

    • Books

    • Egon Guttman, Modern Securities Transfers (4th ed., West Group 2006).
    • Egon Guttman, Louis Del Duca, Miller, Winship, & Hennings, Problems and Materials on Sales Under the Uniform Commercial Code, and the Convention on Internationl Sales of Goods, Commercial Transactions Volume Two (Anderson & Co. 2006).
    • Egon Guttman, Del Duca, Miller, Winship & Henning, Secured Transactions Under the Uniform Commercial Code and International Commerce (Anderson & Co. 2002).
    • Egon Guttman, Comments on the Bulgarian Law on Banking (ABA-CEELI Publication Dec. 1998).
    • Egon Guttman, Comments on the Moldovan Foreign Investment Law (ABA-CEELI Publication Sept. 1998).
    • Egon Guttman, Analysis of the Draft Book of Listing Rules on Varazdin OTC Market for the Republic of Croatia (ABA-CEELI Publication Jan. 23, 1998).
    • Egon Guttman, Louis Del Duca, & Alphonse Squillante, Problems and Materials on Negotiable Instruments Under the Uniform Commercial Code and the United Nations Convention on International Bills of Exchange and International Promissory Notes, Commercial Transactions Vol. 3 (Anderson & Co. 1993).
    • Egon Guttman, Louis F. Del Duca, & Aslphonse M. Squillante, Problems and Materials on Secured Transactions Under the Uniform Commercial Code, Commercial Transactions (Anderson & Co. 1992) (reprinted in Teachers' Manual, 1998. Supplement with Fred H. Miller, 1996).
    • Egon Guttman, Cases and Materials On Policy and the Legal Environment (Johns Hopkins U. 1973) (reprinted in 2d. rev. ed., with Robert Vaughn, 1978).
    • Egon Guttman, Doing Business in the District of Columbia: No. 3--The Beauty Parlor (Howard U. 1969).
    • Egon Guttman, Techniques, Procedures and Pitfalls Under the Uniform Commercial Code--Proceedings of the First Annual Uniform (Gorham & Lamont, Inc. 1968).
    • Egon Guttman, Doing Business in the District of Columbia: No. 2--The Valet Service Establishment (Howard U. 1968).
    • Egon Guttman, Doing Business in the District of Columbia: No. 1--The Barbershop (Howard U. 1967).
    • Egon Guttman, Mississippi Law Institute: Transactions--Uniform Commercial Code--A Negotiable Instruments Law for Investment Secruities--Article 8 (Bobbs-Merril Publg. Co. 1967).
    • Egon Guttman, Study of the Uniform Commercial Code for the State of New Jersey, Article 8 Investment Securities (Soney and Sage Co. 1960).
    • Egon Guttman, Crime, Cause and Treatment (Sudan Jud. 1957).
    • Egon Guttman, The Comparative Conflict of Laws, with Reference to the Legitimacy and Legitimation of Children (U. of London Press 1952).
    • Other Publications

    • Egon Guttman, Investment Securities as Collateral, 36 U.C.C. L.J. 3 (2004).
    • Egon Guttman, The Evolving Legal and Ethical Role of the Corporate Attorney after the Sarbanes-Oxley Act of 2002, 52 Am. U. L. Rev. 579 (2003).
    • Egon Guttman, U.S. Securities Law: Law of the United States Affecting Trade with Latin America/El Derecho de los Estados Unidos en materia de Inversiones y Libre Comercio, in National Law Center for Inter American Freee Trade, Vol. 3, Chapter 20 (Fred. B. Rothman Publications 2001).
    • Egon Guttman, The Concept of Neutrality Since the Adoption and Ratification of the Hague Neutrality Convention 1907, 14 Am. U. Intl. L. Rev. 55 (1998).
    • Egon Guttman, Mediating Industry and Investor Needs in the Re-Drafting of U.C.C. Article 8, 28 U.C.C.L.J. 3 (1994).
    • Egon Guttman, U.C.C. D.O.A.: Le Roi Est Mort, Vive Le Roi, 26 Loy. L. Rev. 625 (1993).
    • Egon Guttman, Analysis of Albania's Foreign Investment Act, in ABA Central and Eastern European Law Initiative (ABA-CEELI Publication May 1992).
    • Egon Guttman, Analysis of a Proposal for a Securities Law for the Republic of Macedonia, in ABA Central and East European Law Initiative (ABA-CEELI Publication May 1992).
    • Egon Guttman, Investment Securities Law: New Federal and State Developments and Their Effect on Article *, 24 U.C.C. L.J. 307 (1992) (reprinted in Reprinted Com. L. Annual (Clark Boardman Callaghan)).
    • Egon Guttman, Bank Guarantees and Standby Letters of Credit: Moving Toward A Uniform Approach, 56 Brook. L. Rev. 167 (1990).
    • Egon Guttman, Transfer of Securities: State and Federal Interaction, 12 Cardozo L. Rev. 437 (1990).
    • Egon Guttman, Federal Regulation of Transfer Agents, 34 Am. U. L. Rev. 282 (1985).
    • Egon Guttman & Thomas P. Lempke, The Transfer of Securites in Organized markets, A comparative Study of Clearing Agencies in the United States of America, Britain, and Canada, 19 Osgood Hall L. Rev. 400 (1981).
    • Egon Guttman, Toward an Uncertified Security: A Congressional Lead for States to Follow, 37 Wash. & Lee. L. Rev. 717 (1980).
    • Egon Guttman, The Futures Trading Act of 1978: Reaffirmation of Coordinated CFTC-SEC Jurisdiction Over Commodity/Securities, 28 Am. U. L. Rev. 1 (1979).
    • Egon Guttman, Broker-Dealer Bankruptcies: A Study of Section 60e of the Bankruptcy Act and of the Securities Investor Protection Act, 48 N.Y.U. L. Rev. 887, 887-963 (Nov. 1973).
    • Egon Guttman & N. Wolfson, The Net Capital Rules for Broker-Dealers, 24 Stan. L. Rev. 603 (June, 1972).
    • Egon Guttman, Broker-Dealers Serving on Boards of Directors, 77 Com. L.J. 5 (1972) (reprinted in N.Y. L.J. June 16-17, 1972).
    • Egon Guttman, Legal Aspects of Broker-Customer Relationships, Sec. Regs. & Transfer Rep. (1971).
    • Egon Guttman, Statement of The Ad Hoc Committe, in Consumer Viewpoints Vol. 1 (Consumer Research Foun. 1971).
    • Egon Guttman, The Development and Exercise of Appellate Powers in Adverse Action Appeals, 19 Am. U. L. Rev. 323 (1970).
    • Egon Guttman, Wilson & Shearson, Hammill & Co., 14 How. L.J. 330 (1968).
    • Egon Guttman, The Handling of Issuance and Transfers of Stocks, Bonds, and Other Investment Securities, 1 U.C.C. L.J. 335 (1968-69).
    • Egon Guttman & Carlos L. Israels, The Transfer Agend and the Uniform Commercial Code, 21 Bus. Law. 981 (1966) (reprinted in 83 Banking L.J. 941 (1966)).
    • Egon Guttman, The Transfer of Shares in a Commercial Corporation--A Comparative Study, 5 B.C. Indus. & Com. L. Rev 411 (1964).
    • Egon Guttman, Article 3, Commercial Paper: An updating of Well-Tried Concepts, 11 How. L.J. 49 (1964).
    • Egon Guttman, Article 8 of the Uniform Commercial Code, 17 Rutgers L. Rev. 136 (1962).
    • Egon Guttman, Investment Securities Under the Uniform Commercial Code, 11 Buff. L. Rev. 1 (1961).
    • Egon Guttman, Whither Legitimacy: An Investigation of the Choice of law Rules to Determine the Status of Legitimacy, 15 Rutgers L. Rev. 756 (1960).
    • Egon Guttman, The Status of Legitimacy in Comparative Conflict of Laws, 8 Intl. & Comp. L.Q. 678 (1959).
    • Egon Guttman, The Refugee in Litigation, 8 Intl. & Comp. L.Q. 730 (1959).
    • Egon Guttman, The Reception of the Common law in the Sudan, 6 Intl. & Comp. L.Q. 401 (1957).
    • Egon Guttman, Law Reporting in the Sudan, 6 Intl. & Comp. L.Q. 685 (1957).
    • Egon Guttman, Presumptions of Legitimacy and Legitimation Arising Out of Birth in Lawful Wedlock, 5 Intl. & Comp. L.Q. 217 (1956).
    • Egon Guttman, Editorial, Sudan L.J. & Reps. 1 (1956).
    • Egon Guttman, A Survery of the Sudan Legal System, Sudan L.J. & Rep. 7 (1956).
    • Egon Guttman, Land Tenure Among the Azande People of Equatoria Province of Sudan, 37 Notes & Recs. 48 (1956).
    • Egon Guttman (Assisted Prof. Glanville L. Williams in research and first draft), Homicide and the Supernatural, 65 L.Q. Rev. 491 (1949) (reprinted in 23 Conn. B. J. 159 (1949)).
  • + Selected Presentations

    • Egon Guttman, Remarks, Unidroit Harmonization of Rules Governing Securities (Teleconference, Feb. 28, 2006).
    • Egon Guttman, Testimony, Transfer of Restricted Securities (Montreal, Can., Dec. 5, 2005).
    • Egon Guttman, Moderator, Conference on Financial Services Through the Internet: (American University Washington College of Law, Wash., D.C., Feb. 4, 1999).
    • Egon Guttman, Referee, The Journal of Legislative Studies: (University of Hull, Eng., 1999).
    • Egon Guttman, Moderator, Conference on Neutrality, Morality, and the Holocaust (American University Washington College of Law, Wash., D.C., 1998).
  • + Selected Teaching Materials

    • Egon Guttman & R. B. Lubic, Secured Transactions--A Simplified Guide (Wash. C. of L. 1995).
    • Egon Guttman & Dr. A. Smith, Cases and Materials on Domestic Relations (U. of Alberta 1962).