Bingham

Bingham

W. John McGuire

Partner

John McGuire is co-chair of Bingham’s global Investment Management Practice Group. He concentrates on investment company and investment adviser regulatory issues and related issues affecting broker-dealers and transfer agents. John has assisted clients with the formation or acquisition of investment companies and investment advisers, in addition to providing them with ongoing representation. John routinely handles matters involving the establishment, representation and counseling of exchange traded investment companies (ETFs), their advisers and listing markets.

John counsels clients on a wide variety of regulatory and transactional matters, including development of new products and services; federal and state registration and compliance issues; Securities and Exchange Commission, FINRA, and state investigations and enforcement actions; mergers and acquisitions involving investment companies and investment advisers; interpretive and “no-action” letter requests; SEC exemptive orders; and related matters. John has worked on some of the key ETF legal milestones, including the first fixed-income ETFs, the first 12(d)(1) relief for ETFs, actively managed ETFs, leveraged and inverse ETFs and the first ETF in a master-feeder structure.

Since 2005, John has been ranked by the editors of Chambers USA as one of the leading U.S. lawyers for investment management. Chambers noted that John’s clients appreciate the fact that “he is able to see things from a business as well as legal perspective.” Chambers also noted that he is “very active in the development of new investment products.” John was also selected by Ignites as the 2008 “Fund Titan” in the category of “Outside Counsel.” Fund Titan awards recognize legal and compliance professionals who make a significant mark on the mutual fund industry.

Before entering private practice, John served on the staff of the SEC in its Investment Management Division. He regularly speaks at industry conferences and has authored or co-authored several articles covering a wide variety of securities regulatory issues and the book Mutual Fund Regulation and Compliance Handbook.

Events

  • Moderator, Exchange-Traded Funds (ETFs), Mutual Funds Today: Current Issues in Fund Regulation and Compliance seminar, Washington, D.C. (2013)
  • Panelist, Dispelling Myths About Risk in ETFs, BNY Mellon ETF Symposium, Dana Point, Calif. (2012)

Memberships

  • Former Chair, District of Columbia Bar Association, Investment Management Committee
  • Member and Former Steering Committee Member, District of Columbia Bar Association, Corporation Finance and Securities Law Section
  • Member, American Bar Association, Business Law Section, Federal Regulation of Securities Committee, Investment Companies and Investment Advisers Subcommittee
  • Associate Editor, Washburn Law Journal

Awards & Honors

  • Best Lawyers, leading lawyer in Mutual Funds Law (2014)
  • Chambers USA (2005–2013)
  • Legal 500 (2009–2012)
  • Recognized as the 2008 “Fund Titan” in the Category of Outside Counsel by Ignites

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