Morgan Lewis

Related Publications

12/15/11 Panelist, Spotlight on ETFs, presented at the ICI Securities Law Developments Conference, Washington, D.C.
09/27/11 Research, Marketing, Financing and Selling Restrictions Relating to ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session II
(pdf)
09/20/11 Issues for Broker-Dealers acting as APs or LMMs for ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session I
(pdf)
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Related Events

02/17/12 2012 Derivatives Roundtable: Exploring the Use of Derivatives by Mutual Funds, Closed-End Funds, and ETFs
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Related News

11/15/10 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.
04/16/09 iShares Lending Profits Not Barclays’ To Sell, Dow Jones Newswires
John McGuire discusses iShares Board's future securities lending options outside of Barclays.
04/01/09 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.
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W. John McGuire

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

66 Publications Found
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Date Title Publication
12/15/1112/15/11 Panelist, Spotlight on ETFs, presented at the ICI Securities Law Developments Conference, Washington, D.C.

pdf 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

pdf 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

pdf View Presentation
Speech
09/02/1109/02/11 SEC Concept Release Requests Industry Comments on Funds’ Use of Derivatives

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Investment Management LawFlash
04/19/1104/19/11 ETFs 360° - Formation, Regulation and Trading

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Speech
09/20/1009/20/10 CFTC Requests Comment on NFA Petition to Restrict Exclusions from Commodity Pool Operator Definition

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Investment Management LawFlash
09/01/1009/01/10 SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure

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Investment Management FYI
08/19/1008/19/10 NFA Revises Petition to Restrict Exclusions from Commodity Pool Operator Definition

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Investment Management LawFlash
07/01/1007/01/10 NFA Petitions the CFTC to Restrict Exclusions from the Commodity Pool Operator Definition for Investment Companies

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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.

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Speech
04/21/1004/21/10 Creating a Manageable & Defensible Recordkeeping System, presented at the 25th Annual NRS Spring Conference, Fort Lauderdale, FL

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Speech
03/31/1003/31/10 Supreme Court Affirms Gartenberg Standard in Unanimous Decision in Jones v. Harris Associates L.P.

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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

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Investment Management FYI
08/07/0908/07/09 Proposed Rule under Investment Advisers Act Would Limit “Pay to Play” Practices

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Private Investment Funds LawFlash
07/15/0907/15/09 Money Market Fund Reform

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Investment Management FYI
04/15/0904/15/09 Eighth Circuit Considers Gartenberg Factors

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Investment Management FYI
04/02/0904/02/09 Treasury Extends Money Market Fund Guarantee

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Investment Management FYI
03/20/0903/20/09 Securities and Exchange Commission Staff Confirms Ability of iShares ETFs to Use Affiliated Indices as Benchmarks

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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

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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

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Investment Management FYI
11/20/0811/20/08 SEC Votes to Improve Disclosure for Mutual Fund Investors

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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

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Investment Management FYI
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