ETFs and Mutual Funds

As an investment manager, you face complex and constantly changing regulatory requirements, along with a vast assortment of business and legal issues. We keep pace with all aspects of new product development and compliance laws to provide you with keen regulatory and strategic advice on developing ETFs and mutual funds. Our attorneys have been involved in offerings by ETFs that are registered as investment companies and commodity pools. Our services include: 

  • Preparation of registration statements
  • "No action" relief work before the CFTC and SEC in connection with both regulatory requirements and securities exchange listing and trading requirements
  • 19b-4 stock exchange listing applications
  • Short sales relief, disclosure, and reporting requirements
  • Registered fund formation regulations
  • Periodic reporting and compliance obligations