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.”

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, Mutual Funds Today: Current Issues and Developments in Fund Regulation and Compliance, ALI CLE, Washington, D.C. (2014)
  • 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)
  • Panelist, Exchange Traded Funds, ICI’s 2011 Securities Law Developments Conference (2011)
  • Panelist, Fund Registration and Disclosure, ALI-ABA Investment Company Regulation and Compliance (2011)
  • Panelist, Fund Registration and Disclosure, ALI-ABA Investment Company Regulation and Compliance Conference (2010)
  • Panelist, Creating a Manageable and Defensible Recordkeeping System, 25th Annual NRS Spring Compliance Conference (2010)
  • Panelist, Today’s Investment Adviser Books and Records Requirements — Including E-mail and How to Avoid Common Exam Problems, NRS Desktop Seminar (2009)
  • Panelist, Fund Registration and Disclosure, ALI-ABA Investment Company Regulation and Compliance Conference (2008)
  • Panelist, Exchange Traded Funds, ICI’s 2008 Mutual Funds and Investment Management Conference (2008)
  • Co-Presenter, Electronic Recordkeeping/Required Books and Records to be Maintained by Advisers, Advisor Compliance Associates Books and Records Webcast (2007)
  • Panelist, Fund Registration and Disclosure, ALI-ABA Investment Company Regulation and Compliance Conference (2007)
  • Panelist, Current Regulatory Environment for ETFs, Annual Global ETF Workshop and Awards Dinner (2007) 
  • Panelist, SEC Regulatory Update, ETF Evolution 2007: Maximizing Returns Through Cutting-Edge Investment Strategies, New York (2007)
  • Panelist, Risk Management and Compliance Challenges in the Global Investment Funds Industry, International Bar Association Conference, Chicago (2006)
  • Panelist, Fund Registration and Disclosure, ALI-ABA Investment Company Regulation and Compliance Conference (2006)
  • Panelist, Regulatory Viewpoint On Current And Future Policy - Implications And Opportunities For ETFs, The Fifth Annual World Series of Exchange-Traded Funds (2005)
  • Presenter, Regulation of U.S. Investment Companies, Georgetown University, Washington, D.C. (2004)
  • Panelist, Mutual Fund Scandals: The Industry Responds to Recent Challenges and SEC Regulation, National Investment Company Service Association, West Coast Regional Meeting (2004)
  • Co-Presenter, Investment Adviser Books and Records, NRS Basic Training, New York (2004)
  • Presenter, Disclosure Changes as a Result of the Mutual Fund Scandal, Gail Weiss & Associates, Washington, D.C. (2004)
  • Panelist, The Mutual Fund Scandal, The Corporate Law Society of the Boston University School of Law, Boston (2004)
  • Panelist, Brave New World For Compliance Officers?, IA Week Fall Compliance Conference, Philadelphia (2003)
  • Co-Presenter, Investment Adviser Act Matters, ICAA Compliance Workshop, Chicago (2002)
  • Co-Presenter, Investment Adviser Books and Records, NRS Basic Training, New York (2001)

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, Investment Funds: Registered Funds (2005–2014)
  • Legal 500 US (2009–2012, 2014)
  • Recognized as the 2008 “Fund Titan” in the Category of Outside Counsel by Ignites

Legal insight. Business instinct. Global intelligence. ®