Vedder Price

Mutual Funds & ETFs Vedder Service

Our clients include hundreds of 1940 Act registered funds, ranging in size from less than $100 million to the multibillion-dollar range.

We have extensive experience in all types of investment company matters—from the organizational concerns of the start-up phase through ongoing management and regulatory issues of the mature complex. Our attorneys can assist with:

  • Structuring new mutual funds and ETFs
  • Handling SEC investment company registrations and exemptive applications, as well as regulatory filings
  • Addressing continuing disclosure obligations
  • Negotiating contracts related to distribution, brokerage, custody, shareholder servicing and insurance arrangements
  • Counseling independent directors on their duties and responsibilities under the law
  • Handling compliance matters, including shareholder meeting preparation and proxy solicitation
  • Advising on reporting requirements, promotional materials, advertising compliance and electronic distribution
  • Handling reorganizational matters, such as a reorganization to a Massachusetts business trust or a Delaware statutory trust
  • Acquiring one or more other investment companies
  • Trading in swaps, futures and options contracts and various hedging activities
  • Providing representation in administrative proceedings and in securities and commercial litigation matters
  • Reviewing and advising on insurance matters
  • Assisting clients in SEC inspections

In addition, our attorneys have particular experience with ETFs, closed-end funds and variable insurance products. We can provide advice on structuring and operating non-registered pooled investment vehicles and on creating group trusts, statutory trusts and long-only private funds.

Related Services

 

Attorneys



James A. Arpaia

Shareholder



David E. Bennett

Shareholder



W. Thomas Conner

Shareholder



Joel S. Forman

Shareholder



Renee M. Hardt

Shareholder



Amy E. Lewis

Associate



Joseph M. Mannon

Shareholder



John S. Marten

Shareholder



Maureen A. Miller

Shareholder



Mark Quade

Associate



Bruce A. Rosenblum

Shareholder



David A. Sturms

Shareholder



Jacob C. Tiedt

Associate



Jeff VonDruska

Associate