John J. O'Brien

December 2016 - ETF Roundup – Issue 1

9/9/2016 - In Eagerly Awaited Ruling, AXA Beats Excessive Fee Claim

August 2016 - SEC Proposes Business Continuity and Transition Plan Requirements for Investment Advisers; Staff Issues Guidance for Registered Funds

7/25/2016 - SEC Examiners Focused on Fund Share Class Conflicts of Interest

6/9/2016 - Ninth Annual Advanced Topics in Hedge Fund Practices, Part 11: Nontransparent Actively Managed ETFs, Smart Beta ETFs, and the SEC’s Derivatives Proposal

5/13/2016 - Sub-Advisers Get Relief from Custody Rule’s Surprise Exam Requirement

3/28/2016 - Key Takeaways From SEC's Fund Disclosure Guidance, Law360

March 2016 - Understanding The SEC’s Proposal on Funds’ Use of Derivatives and Other Financial Transactions

3/22/2016 - SEC Staff Publishes Guidance on Fund Disclosure of Current Market Conditions

2015-2016 - Hedge Fund Deskbook

1/28/2016 - SEC Staff Issues Guidance on Mutual Fund Distribution Arrangements

1/14/2016 - SEC Requests Public Comment on Transfer Agent Regulation Proposal and Concept Release

12/14/2015 - SEC Proposes Requirements for Funds’ Use of Derivatives and Other Financial Transactions

12/2/2015 - NYSE Arca Proposes to Flag ETP Trades that Deviate Significantly from Prevailing Market Prices

11/19/2015 - SEC Exam Staff Shares Observations on Outsourced Chief Compliance Officers

10/29/2015 - SEC Proposes Liquidity Risk Management Rules for Open-End Funds, Westlaw Journal

10/27/2015 - NYSE Arca Withdraws Active ETF Generic Listing Standards Proposal as SEC Focus on ETFs Continues

9/28/2015 - SEC Proposes Liquidity Risk Management Rules for Open-End Funds

9/18/2015 - BE-180 Deadline Approaching: Fund Managers, Private Funds, and Registered Investment Companies May Be Required to File

9/10/2015 - Update on Proposed Listing Standards for Active ETFs

7/28/2015 - “Pay to Play” Developments

7/2/2015 - SEC Seeks Public Input on Exchange-Traded Product Trading Issues

6/15/2015 - Update on Proposed Listing Standards for Active ETFs

5/21/2015 - SEC Proposes Rules Affecting Funds and Advisers

May 2015 - A Director’s Guide to Understanding Liquidity Fee and Redemption Gate Responsibilities, The Investment Lawyer

3/19/2015 - SEC Considers Active ETF Listing Standards, Approves Paired Class ETP

2/1/2015 - The Non-Transparent Future of ETPs, The Investment Lawyer

December 2014 - Exchange-Traded Managed Funds and What They Mean for APs, Wall Street Lawyer

12/4/2014 - Are Non-Transparent ETFs and ETMFs the “Next Big Things”?

11/13/2014 - Selected Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements, presented for a National Regulatory Services Webinar

11/12/2014 - SEC to Approve “Exchange-Traded Managed Funds”

November 2014 - SEC’s Denial of Non-Transparent ETFs Means APs Can Rest Easy – For Now, Wall Street Lawyer

10/2/2014 - SEC Overhauls Money Market Fund Regulations

September 2014 - The New Era of Money Market Fund Regulation

4/29/2014 - The ETF Authorized Participant Agreement: Key Issues and Negotiating Points

4/10/2014 - Impact of the Volcker Rule on ETFs and Authorized Participants Roundtable

4/3/2014 - SEC Regulatory and Enforcement Roundup, presented at the ALI-CLE Investment Adviser Regulation: Legal and Compliance Forum on Institutional Advisory Services

3/7/2014 - ETFs: Past, Present and Future, presented the at the ALPS 9th Annual Client Forum, Denver, Colorado

11/14/2013 - Selected Advisers Act Anti-Fraud Rules: Custody, Political Contributions, Solicitors and Proxy Voting Requirements, presented for a National Regulatory Services webinar

8/28/2013 - Investment Adviser Codes of Ethics: The Rule, Plus Pay to Play, Gifts and Whistleblowers

7/24/2013 - SEC Approves General Solicitation in Private Offerings and Proposes Further Regulation D Amendments

5/17/2013 - SEC Warns About Exemptive Order Compliance

5/10/2013 - SEC Settles Suit for Misleading Advisory Contract Approval Disclosure

5/7/2013 - FINRA's Position On Pre-Inception Index Performance Data, Law360

4/26/2013 - FINRA Formalizes Position on Pre-Inception Index Performance Data

11/13/2012 - Custody and Pay to Play Rules Plus Solicitors and Proxy Voting Requirements, presented for a National Regulatory Services Webinar

10/2/2012 - Books and Records Requirements for Investment Advisers, presented for a National Regulatory Services Webinar

7/25/2012 - Morgan Lewis Hedge Fund University™ Webinar Series: Form PF: What You Need to Know

May 2012 - What the CFTC Rule Revisions Mean for Registered Investment Companies and Their Investment Advisers

2/28/2012 - Hedge Funds in Transition: SEC Examination Priorities and Strategies for Building an Advisers Act Compliance Program (a National Regulatory Services webinar)

January 2012 - Political Contributions and State Lobbyist Registration

11/15/2011 - Custody and Pay to Play Rules Plus Solicitors and Proxy Voting Requirements for Investment Advisers (a National Regulatory Services webinar)

11/8/2011 - Form PF Will Result in Substantial Reporting Requirements for Registered Advisers to Private Funds

10/31/2011 - Federal Agencies Propose Implementation of Volcker Rule

10/24/2011 - Panelist, “Serving as a Director,” presented for the Pennsylvania Bar Institute’s “The Nuts and Bolts of Board Service: An Introduction to Legal Issues for Nonprofits and their Directors,” Philadelphia

9/27/2011 - Research, Marketing, Financing and Selling Restrictions Relating to ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session II

9/20/2011 - Issues for Broker-Dealers acting as APs or LMMs for ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session I

August 2011 - Broker-Dealers Will Shoulder Bulk of Responsibility under SEC’s New “Large Trader” Reporting System, Wall Street Lawyer

9/2/2011 - SEC Concept Release Requests Industry Comments on Funds’ Use of Derivatives

8/2/2011 - SEC Adopts Large Trader Reporting System

7/7/2011 - SEC Adopts Rules Exempting Venture Capital Fund Advisers from SEC Registration and Setting Forth Reporting Regime

6/29/2011 - SEC Adopts Exemptions for Certain Private Fund Advisers and Other Dodd-Frank Implementing Rules

4/19/2011 - ETFs 360° - Formation, Regulation and Trading

3/28/2011 - SEC Staff Issues Guidance on “Pay-to-Play” Rule

3/22/2011 - Pay-to-Play – Employment Law Implications presented at the 2011 Insurance Industry Roundtable

3/4/2011 - Pay-to-Play: Countdown to Compliance

1/10/2011 - SEC Proposes Exemptions for Certain Private Fund Advisers

9/1/2010 - SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure

August 2010/October 2010 - Legal Considerations for Registered Investment Companies Investing in Derivatives

7/9/2010 - SEC Adopts Pay-to-Play Rule Under Investment Advisers Act

5/24/2010 - Impact of Senate Financial Reform Bill on Retail Brokerage and Private Client Services

4/29/2010 - SEC’s Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers

1/12/2010 - Floor Amendments to House Legislation Clarify Small Fund Adviser Exception and Increase Protection of Proprietary Information