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
Publications
| Date | Type | Title |
| 12/15/2011 | Presentation | Panelist, Spotlight on ETFs, presented at the ICI Securities Law Developments Conference, Washington, D.C. |
| 09/27/2011 | Presentation | Research, Marketing, Financing and Selling Restrictions Relating to ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session II |
| 09/20/2011 | Presentation | Issues for Broker-Dealers acting as APs or LMMs for ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session I |
| 09/02/2011 | LawFlash/Client Alert | SEC Concept Release Requests Industry Comments on Funds’ Use of Derivatives |
| 04/19/2011 | Presentation | ETFs 360° - Formation, Regulation and Trading |
| 09/20/2010 | LawFlash/Client Alert | CFTC Requests Comment on NFA Petition to Restrict Exclusions from Commodity Pool Operator Definition |
| 09/01/2010 | LawFlash/Client Alert | SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure |
| 08/19/2010 | LawFlash/Client Alert | NFA Revises Petition to Restrict Exclusions from Commodity Pool Operator Definition |
| 07/01/2010 | LawFlash/Client Alert | NFA Petitions the CFTC to Restrict Exclusions from the Commodity Pool Operator Definition for Investment Companies |
| June 3–June 4, 2010 | Presentation | Investment Company Regulation and Compliance, presented at an ALI-ABA Conference, Washington, D.C. |
| 05/06/2010 | Presentation | New and Innovative Mutual Fund Products, presented at the ICI General Membership Meeting/Legal Forum, Washington, D.C. |
| 04/21/2010 | Presentation | Creating a Manageable & Defensible Recordkeeping System, presented at the 25th Annual NRS Spring Conference, Fort Lauderdale, FL |
| 03/31/2010 | LawFlash/Client Alert | Supreme Court Affirms Gartenberg Standard in Unanimous Decision in Jones v. Harris Associates L.P. |
| 10/08/2009 | Presentation | 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 |
| 09/23/2009 | LawFlash/Client Alert | SEC Adopts Interim Final Temporary Money Market Funds Reporting Requirement |
| 08/07/2009 | LawFlash/Client Alert | Proposed Rule under Investment Advisers Act Would Limit “Pay to Play” Practices |
| 07/15/2009 | LawFlash/Client Alert | Money Market Fund Reform |
| 04/15/2009 | LawFlash/Client Alert | Eighth Circuit Considers Gartenberg Factors |
| 04/02/2009 | LawFlash/Client Alert | Treasury Extends Money Market Fund Guarantee |
| 03/20/2009 | LawFlash/Client Alert | Securities and Exchange Commission Staff Confirms Ability of iShares ETFs to Use Affiliated Indices as Benchmarks |
| February 2009 | Outside Publication | SEC Staff Permits Exchange-Traded Funds to Track Their Indexes by Investing in Other Exchange-Traded Funds, Derivatives Financial Products Report |
| 2009 | Outside Publication | Mutual Fund Regulation and Compliance Handbook, 2008–2009 Edition (Thompson Reuters/West) |
| 01/16/2009 | LawFlash/Client Alert | Enhanced Prospectus Disclosure and New Prospectus Delivery Option for Mutual Funds |
| 11/20/2008 | LawFlash/Client Alert | SEC Votes to Improve Disclosure for Mutual Fund Investors |
| 10/27/2008 | LawFlash/Client Alert | Securities and Exchange Commission Staff Permit Exchange-Traded Funds to Track Their Indexes by Investing in Other Exchange-Traded Funds |
| 10/04/2008 | LawFlash/Client Alert | Impact of the Emergency Economic Stabilization Act of 2008 on Investment Management Firms |
| 09/29/2008 | LawFlash/Client Alert | Money Market Funds: Insurance, Liquidity, and Support |
| 08/13/2008 | LawFlash/Client Alert | SEC Proposes Guidance for Investment Company Boards of Directors on Adviser Trading Practices |
| 07/25/2008 | LawFlash/Client Alert | SEC Exam Staff Issues Second ComplianceAlert |
| 07/16/2008 | Presentation | Investment Company Regulation and Compliance, presented by ALI-ABA, Boston |
| 06/13/2008 | LawFlash/Client Alert | Interactive Data for Mutual Fund Risk/Return Summary |
| 05/22/2008 | LawFlash/Client Alert | Seventh Circuit “Disapproves” of Gartenberg Factors |
| April 2008 | Outside Publication | The SEC's ETF Rule Proposal: Key Issues for the Future of Exchange Traded Products, The Investment Lawyer |
| 03/16/2008 | Presentation | Exchange Traded Funds, Mutual Funds, and Investment Management Conference, presented by the ICI and FBA, Phoenix, AZ |
| 03/05/2008 | LawFlash/Client Alert | SEC Proposes Rules to Allow Index-Based and Fully Transparent Actively Managed ETFs |
| 02/05/2008 | LawFlash/Client Alert | SEC Issues First Notice for Actively Managed ETFs |
| 11/13/2007 | Presentation | Electronic Recordkeeping/Required Books and Records to be Maintained by Advisers, presented at the Advisor Compliance Associates Books and Records Webcast |
| 06/06/2007 | Presentation | Investment Company Regulation and Compliance, presented by ALI-ABA, Philadelphia |
| 04/26/2007 | Presentation | Current Regulatory Environment for ETFs, presented at the Annual Global ETF Workshop and Awards Dinner, New York |
| 03/05/2007 | Presentation | SEC Regulatory Update, presented at ETF Evolution 2007: Changing the Landscape, New York |
| 09/19/2006 | Presentation | Risk Management and Compliance Challenges in the Global Investment Funds Industry, presented at the International Bar Association Conference, Chicago |
| August 2006 | Outside Publication | Fund of Funds Flexibility, The Investment Lawyer, Vol. 13, No. 8 |
| 06/21/2006 | Presentation | Investment Company Regulation and Compliance, presented by ALI-ABA, Boston |
| 04/18/2006 | Presentation | Assessing Risk and Managing Conflicts of Interest, presented at the NRS Spring Compliance Conference |
| 01/01/2006 | Outside Publication | Advisor Recordkeeping Requirements, Journal of Investment Compliance, Vol. 7 No.1 |
| 10/25/2005 | Presentation | Exchange Traded Funds: An Introduction and the Latest in ETF-Based Variable Trust Funds, presented at the NAVA 2005 Annual Meeting, New York |
| 06/13/2005 | Presentation | Determining the Future of 12b-1 Fees and Fund Fees; presented by the Mutual Fund Best Practices Forum / Institutional Investor New York |
| 04/11/2005 | Presentation | 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. |
| 03/31/2005 | Presentation | Viewpoint On Current And Future Policy – Implications And Opportunities For ETFs, presented at the World Series of ETFs/Information Management Network, New York |
| 03/29/2005 | Presentation | 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 |
| 01/31/2005 | Presentation | Mutual Funds and Hedge Funds, presented at Fordham Law School Spring Roundtable, New York |
| 10/12/2004 | Presentation | Recordkeeping Procedures for Today’s Electronic World; presented at the NRS 19th Annual Fall Compliance Conference, New Orleans |
| 07/27/2004 | Presentation | Regulation of U.S. Investment Companies - Georgetown University, Washington, D.C. |
| 05/27/2004 | Presentation | 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 |
| 05/13/2004 | Presentation | Investment Adviser Books and Records; NRS Basic Training, New York |
| 05/04/2004 | Presentation | Disclosure Changes as a Result of the Mutual Fund Scandal, presented to Gail Weiss & Associates, Washington, D.C. |
| 04/05/2004 | Presentation | The Mutual Fund Scandal, presented at the Corporate Law Society of the Boston University School of Law, Boston |
| 09/08/2003 | Presentation | Brave New World For Compliance Officers?;
IA Week Fall Compliance Conference, Philadelphia |
| March/April 2003 | Outside Publication | SEC Record Requirements For Advisors, Schwab Institutional Compliance Review |
| 11/08/2002 | Presentation | Investment Adviser Act Matters; ICAA Compliance Workshop, Chicago |
| 02/09/2001 | Presentation | Investment Adviser Books and Records, presented at NRS Basic Training, New York |
| 11/01/1999 | Presentation | 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 |
| July 1997 | Outside Publication | Managing Compliance Problems Is Key to an Investment Advisory Firm's Success, Money Manager's Compliance Guide |
| 02/24/1997 | Presentation | 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 |
| July 1996 | Outside Publication | Book and Recordkeeping Requirements for Investment Advisers, The Review of Securities & Commodities Regulation, Vol. 29, No. 13 |
| 06/14/1996 | Presentation | Compliance Procedures for the Investment Adviser of Separately Managed Discretionary Accounts, presented at the Advisor's Education Group Conference, New York |