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 books Mutual Fund Regulation and Compliance Handbook and Regulation of Exchange-Traded Funds.
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.”
Washburn University School of Law, 1986, Juris Doctor
Wichita State University, 1980, Bachelor of Arts
Wichita State University, 1986, Master of Public Administration
District of Columbia
Awards and Affiliations
Member, Practice Group of the Year, Asset Management, Law360 (2017)
Recognized, Mutual Funds Law, Washington, DC, The Best Lawyers in America (2014–2015, 2017–2019)
Ranked, Investment Funds: Registered Funds, Nationwide, Chambers USA (2005–2018)
Recommended, Investment fund formation and management: Mutual/registered/exchange-traded funds, The Legal 500 US (2009–2012, 2014–2018)
Recognized as the 2008 “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