W. John McGuire

Email: wjmcguire@morganlewis.com

Washington, D.C.
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5654
Fax: 202.739.3001

practice accolades

Investment Management

Ranked, Band 1: Financial Services Regulation: Broker-Dealer Regulation in Chambers USA (2011)

Ranked, Band 1: Investment Funds: Registered Funds in Chambers USA (2011)

Ranked, Band 1: Investment Fund Formation and Management: Mutual Funds in The U.S. Legal 500 (2011)

Ranked, National Tier 1: Securities/Capital Markets Law, U.S. News and Best Lawyers (2010)

education

Wichita State University, 1986, M.P.A.

Washburn University School of Law, 1986, J.D.

Wichita State University, 1980, B.A.

Publications

Date	Title	Publication
12/15/1112/15/11	Panelist, Spotlight on ETFs, presented at the ICI Securities Law Developments Conference, Washington, D.C. View Presentation	Speech
09/27/1109/27/11	Research, Marketing, Financing and Selling Restrictions Relating to ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session II View Presentation	Speech
09/20/1109/20/11	Issues for Broker-Dealers acting as APs or LMMs for ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session I View Presentation	Speech
09/02/1109/02/11	SEC Concept Release Requests Industry Comments on Funds’ Use of Derivatives View LawFlash	Investment Management LawFlash
04/19/1104/19/11	ETFs 360° - Formation, Regulation and Trading View Presentation	Speech
09/20/1009/20/10	CFTC Requests Comment on NFA Petition to Restrict Exclusions from Commodity Pool Operator Definition View LawFlash	Investment Management LawFlash
09/01/1009/01/10	SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure View LawFlash	Investment Management FYI
08/19/1008/19/10	NFA Revises Petition to Restrict Exclusions from Commodity Pool Operator Definition View LawFlash	Investment Management LawFlash
07/01/1007/01/10	NFA Petitions the CFTC to Restrict Exclusions from the Commodity Pool Operator Definition for Investment Companies View LawFlash	Investment Management LawFlash
06/03/10June 3–June 4, 2010	Investment Company Regulation and Compliance, presented at an ALI-ABA Conference, Washington, D.C.	Speech
05/06/1005/06/10	New and Innovative Mutual Fund Products, presented at the ICI General Membership Meeting/Legal Forum, Washington, D.C. View Presentation	Speech
04/21/1004/21/10	Creating a Manageable & Defensible Recordkeeping System, presented at the 25th Annual NRS Spring Conference, Fort Lauderdale, FL View Presentation	Speech
03/31/1003/31/10	Supreme Court Affirms Gartenberg Standard in Unanimous Decision in Jones v. Harris Associates L.P. View LawFlash	Investment Management FYI
10/08/0910/08/09	Today's Investment Adviser Books and Records Requirements - Including E-mail and How to Avoid Common Exam Problems, presented at the 2009 NRS Desktop Seminar	Speech
09/23/0909/23/09	SEC Adopts Interim Final Temporary Money Market Funds Reporting Requirement View LawFlash	Investment Management FYI
08/07/0908/07/09	Proposed Rule under Investment Advisers Act Would Limit “Pay to Play” Practices View LawFlash	Private Investment Funds LawFlash
07/15/0907/15/09	Money Market Fund Reform View LawFlash	Investment Management FYI
04/15/0904/15/09	Eighth Circuit Considers Gartenberg Factors View LawFlash	Investment Management FYI
04/02/0904/02/09	Treasury Extends Money Market Fund Guarantee View LawFlash	Investment Management FYI
03/20/0903/20/09	Securities and Exchange Commission Staff Confirms Ability of iShares ETFs to Use Affiliated Indices as Benchmarks View LawFlash	Investment Management FYI
02/01/09February 2009	SEC Staff Permits Exchange-Traded Funds to Track Their Indexes by Investing in Other Exchange-Traded Funds, Derivatives Financial Products Report View Article	Article
01/29/092009	Mutual Fund Regulation and Compliance Handbook, 2008–2009 Edition (Thompson Reuters/West)	Book
01/16/0901/16/09	Enhanced Prospectus Disclosure and New Prospectus Delivery Option for Mutual Funds View LawFlash	Investment Management FYI
11/20/0811/20/08	SEC Votes to Improve Disclosure for Mutual Fund Investors View LawFlash	Investment Management FYI
10/27/0810/27/08	Securities and Exchange Commission Staff Permit Exchange-Traded Funds to Track Their Indexes by Investing in Other Exchange-Traded Funds View LawFlash	Investment Management FYI
10/04/0810/04/08	Impact of the Emergency Economic Stabilization Act of 2008 on Investment Management Firms View LawFlash	Investment Management FYI
09/29/0809/29/08	Money Market Funds: Insurance, Liquidity, and Support View LawFlash	Investment Management FYI
08/13/0808/13/08	SEC Proposes Guidance for Investment Company Boards of Directors on Adviser Trading Practices View LawFlash	Investment Management FYI
07/25/0807/25/08	SEC Exam Staff Issues Second ComplianceAlert View LawFlash	Investment Management FYI
07/16/0807/16/08	Investment Company Regulation and Compliance, presented by ALI-ABA, Boston	Speech
06/13/0806/13/08	Interactive Data for Mutual Fund Risk/Return Summary View LawFlash	Investment Management FYI
05/22/0805/22/08	Seventh Circuit “Disapproves” of Gartenberg Factors View LawFlash	Investment Management FYI
04/01/08April 2008	The SEC's ETF Rule Proposal: Key Issues for the Future of Exchange Traded Products, The Investment Lawyer View Article	Article
03/16/0803/16/08	Exchange Traded Funds, Mutual Funds, and Investment Management Conference, presented by the ICI and FBA, Phoenix, AZ	Speech
03/05/0803/05/08	SEC Proposes Rules to Allow Index-Based and Fully Transparent Actively Managed ETFs View LawFlash	Investment Management FYI
02/05/0802/05/08	SEC Issues First Notice for Actively Managed ETFs View LawFlash	Investment Management FYI
11/13/0711/13/07	Electronic Recordkeeping/Required Books and Records to be Maintained by Advisers, presented at the Advisor Compliance Associates Books and Records Webcast	Speech
06/06/0706/06/07	Investment Company Regulation and Compliance, presented by ALI-ABA, Philadelphia	Speech
04/26/0704/26/07	Current Regulatory Environment for ETFs, presented at the Annual Global ETF Workshop and Awards Dinner, New York	Speech
03/05/0703/05/07	SEC Regulatory Update, presented at ETF Evolution 2007: Changing the Landscape, New York	Speech
09/19/0609/19/06	Risk Management and Compliance Challenges in the Global Investment Funds Industry, presented at the International Bar Association Conference, Chicago	Speech
08/01/06August 2006	Fund of Funds Flexibility, The Investment Lawyer, Vol. 13, No. 8 View Article	Article
06/21/0606/21/06	Investment Company Regulation and Compliance, presented by ALI-ABA, Boston	Speech
04/18/0604/18/06	Assessing Risk and Managing Conflicts of Interest, presented at the NRS Spring Compliance Conference View Presentation	Speech
01/01/0601/01/06	Advisor Recordkeeping Requirements, Journal of Investment Compliance, Vol. 7 No.1 View Article	Article
10/25/0510/25/05	Exchange Traded Funds: An Introduction and the Latest in ETF-Based Variable Trust Funds, presented at the NAVA 2005 Annual Meeting, New York	Speech
06/13/0506/13/05	Determining the Future of 12b-1 Fees and Fund Fees; presented by the Mutual Fund Best Practices Forum / Institutional Investor New York	Speech
04/11/0504/11/05	Hot topic best practices: soft dollars, directed brokerage, revenue sharing, 12b-1 fees; presented by the Fund Compliance 2005 / Fund Compliance Insider, IA Week and BD Week in Washington, D.C.	Speech
03/31/0503/31/05	Viewpoint On Current And Future Policy – Implications And Opportunities For ETFs, presented at the World Series of ETFs/Information Management Network, New York	Speech
03/29/0503/29/05	The Investment Company Act of 1940, The Investment Advisers Act of 1940; given by the "Federal, State and SRO Securities Regulation: The Cornerstone of Compliance / NRS," New York View Presentation	Speech
01/31/0501/31/05	Mutual Funds and Hedge Funds, presented at Fordham Law School Spring Roundtable, New York	Speech
10/12/0410/12/04	Recordkeeping Procedures for Today’s Electronic World; presented at the NRS 19th Annual Fall Compliance Conference, New Orleans	Speech
07/27/0407/27/04	Regulation of U.S. Investment Companies - Georgetown University, Washington, D.C.	Speech
05/27/0405/27/04	Mutual Fund Scandals: Industry Impact and Operational Responses to Recent Industry Challenges and SEC Regulation, presented at the NICSA West Coast Regional Meeting, San Francisco View Presentation	Speech
05/13/0405/13/04	Investment Adviser Books and Records; NRS Basic Training, New York	Speech
05/04/0405/04/04	Disclosure Changes as a Result of the Mutual Fund Scandal, presented to Gail Weiss & Associates, Washington, D.C. View Presentation	Speech
04/05/0404/05/04	The Mutual Fund Scandal, presented at the Corporate Law Society of the Boston University School of Law, Boston	Speech
09/08/0309/08/03	Brave New World For Compliance Officers?; IA Week Fall Compliance Conference, Philadelphia	Speech
04/21/03March/April 2003	SEC Record Requirements For Advisors, Schwab Institutional Compliance Review View Article	Article
11/08/0211/08/02	Investment Adviser Act Matters; ICAA Compliance Workshop, Chicago	Speech
02/09/0102/09/01	Investment Adviser Books and Records, presented at NRS Basic Training, New York	Speech
11/01/9911/01/99	Federal Securities Law and Its Impact on ERISA Plans, presented at the International Foundation of Employee Benefit Plans 45th Annual Employee Benefits Conference, Orlando, FL	Speech
07/01/97July 1997	Managing Compliance Problems Is Key to an Investment Advisory Firm's Success, Money Manager's Compliance Guide	Article
02/24/9702/24/97	Managing Problems: Complaints to Enforcement Actions, presented at the National Society of Compliance Professionals' 1997 Southern Regional Meeting, Investment Adviser In-House Compliance Audits Workshop, Jacksonville, FL	Speech
07/01/96July 1996	Book and Recordkeeping Requirements for Investment Advisers, The Review of Securities & Commodities Regulation, Vol. 29, No. 13	Article
06/14/9606/14/96	Compliance Procedures for the Investment Adviser of Separately Managed Discretionary Accounts, presented at the Advisor's Education Group Conference, New York	Speech

Date	Title	Description
Nov 15, 2010	Firms Tweak Active ETF Design to Thaw SEC Freeze, Ignites	John McGuire discusses the SEC statement that it would suspend review of any applications for exemptions to the '40 Act for active and leveraged ETFs.
Apr 16, 2009	iShares Lending Profits Not Barclays’ To Sell, Dow Jones Newswires	John McGuire discusses iShares Board's future securities lending options outside of Barclays.
Apr 01, 2009	What Gives Industry Experts Hope, Ignites	John McGuire comments on lessons learned in the mutual fund industry and promising innovations for the future of the industry.
Feb 13, 2009	Chamber of Commerce Seeks More Efficient SEC, Ignites	John McGuire discusses the rule-making process of the SEC.

practice areas

bar admissions

W. John McGuire

practice accolades

education

Publications

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