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.
From 2005 through 2012, John was named one of the leading U.S. lawyers for investment management by Chambers USA, based on the views of clients, peers and other industry professionals. 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.