Sean Graber advises companies in the securities industry on investment management matters. Investment advisers, mutual funds, closed-end funds, private investment companies, registered funds of hedge funds, and exchange-traded funds seek his advice on organizational issues, registration, and ongoing regulatory compliance matters. He also serves as counsel to the boards of directors of mutual funds, and he advises insurance companies on regulatory matters relating to variable insurance products.
Sean counsels clients on regulatory and transactional investment management matters. These include the development of new products and services, US federal and state registration and compliance issues, and US Securities and Exchange Commission (SEC) enforcement actions. He advises clients on mergers and acquisitions involving investment companies and investment advisers, and addresses interpretive and “no-action” letter requests, SEC exemptive orders, and related matters.
The George Washington University, 1996, B.A.
Villanova University School of Law, 2001, J.D.
Awards and Affiliations
Member, ETF Law Firm of the Year, ETF.com (2019)
Member, Best ETF Legal & Compliance Firm, ETFexpress (2019)
Member, Practice Group of the Year, Asset Management, Law360 (2017)
Rising Star, IFLR1000 United States (2018–2020)
Rising Star, IFLR1000 Financial and Corporate (2017–2021)
Recommended, The Legal 500 United States (2015)
Senior Student Editor, Villanova Journal of Law and Investment Management