W. John McGuire

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.”