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Practice Areas

Counsels clients on investment company and investment adviser regulatory issues and related issues affecting broker-dealers and transfer agents. Assists with forming and acquiring investment companies and investment advisers. Routinely handles matters involving the establishment, representation, and counseling of ETFs, their advisers, and listing markets. Worked on some of the key ETF legal milestones, including the first fixed-income ETFs and the first ETF in a master-feeder structure. Advises clients on regulatory and transactional matters.

Career

Leader, Registered Funds Practice. Served on the staff of the SEC in its Investment Management Division