Morgan Lewis

Related Publications

June 3–June 4, 2010 Investment Company Regulation and Compliance, presented at an ALI-ABA Conference, Washington, D.C.
10/08/09 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
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Photo of  W. John McGuire

practice accolades

Investment Management

Ranked, National Tier 1: Securities/Capital Markets Law, U.S. News and Best Lawyers (2015)

Ranked: Investment Fund Formation and Management: Mutual/Registered Funds in The U.S. Legal 500 (2014)

Ranked: Financial Services Regulation: Broker-Dealer Regulation in Chambers USA (2014)

Ranked: Investment Funds: Registered Funds in Chambers USA (2014)

honors + affiliations

Listed, Chambers USA: America's Leading Lawyers for Business (2005–2014)

Listed, Investment Fund Formation and Management: Mutual Funds in The US Legal 500 (2009–2014)

Listed, Washington, D.C. Super Lawyers (2008)

Recognized as a "Fund Titan" in the Category of Outside Counsel by Ignites

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

bar admissions

  • District of Columbia
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W. John McGuire
Partner


Email: wjmcguire@morganlewis.com
Washington, D.C.
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
United States
Phone: +1.202.373.6799
Fax: +1.202.373.6001

John McGuire counsels clients on investment company and investment adviser regulatory issues and related issues affecting broker-dealers and transfer agents. He also assists clients with forming and acquiring investment companies and investment advisers. John routinely handles matters involving the establishment, representation, and counseling of exchange traded investment companies (ETFs), their advisers, and listing markets.

Additionally, John advises clients on regulatory and transactional matters, including development of new products and services; federal and state registration and compliance issues; Securities and Exchange Commission (SEC), 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 previously 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.

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.

Ranked a leading US lawyer for investment management by Chambers USA since 2005, John’s clients told Chambers editors that they appreciate “he is able to see things from a business as well as legal perspective.” John was also selected by Ignites as the 2008 “Fund Titan” in the category of “Outside Counsel.”

Prior to rejoining Morgan Lewis, John was a partner in the financial services practice of another international law firm, where he was co-chair of the global investment management practice.

education

  • Washburn University School of Law, 1986, J.D.
  • Wichita State University, 1986, M.P.A.
  • Wichita State University, 1980, B.A.

Additional Information

  • Speaker, ICI Mutual Funds and Investment Management Conference, ICI’s 2015 Mutual Funds and Investment Management Conference, Palm Desert, CA (March 15–18, 2015)
  • 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)