J. Stephen Feinour Jr.

Stephen Feinour

Overview

Steve Feinour focuses his practice on counseling investment companies and investment advisers in connection with various regulatory, compliance and transactional issues. He regularly advises clients on matters such as the formation, registration and ongoing regulation of investment companies, including index-based and actively managed exchange-traded funds (ETFs).

Steve's legal representation includes:

  • preparing regulatory filings
  • drafting and reviewing registration statements and proxy solicitation materials
  • counseling boards of trustees/directors on governance matters
  • researching various securities and corporate law issues
  • drafting corporate policies and compliance procedures
  • assisting ETFs in obtaining exchange listing approvals 
  • negotiating service provider agreements

Prior to joining Stradley Ronon, Steve served as a law clerk for the Hon. Bonnie Brigance Leadbetter of the Commonwealth Court of Pennsylvania.

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Representative Matters

  • advised numerous start-up investment advisers and established global investment firms in launching index-based (including smart beta) and actively managed ETFs
  • advised an ETF investment adviser in its sale to a global investment firm
  • advised an investment adviser in launching its first mutual funds, including converting three private funds into the newly created mutual funds
  • advised an investment adviser in its acquisition of a fixed income investment management firm, including the acquisition of two registered investment companies that were previously sub-advised by the fixed income investment management firm
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Credentials

Bar Admissions
  • New Jersey
  • Pennsylvania
Education
  • J.D., The College of William and Mary School of Law
  • B.A., magna cum laude, University of Pennsylvania
Memberships

  • Former Chair, Philadelphia Young ’40 Act Lawyers Roundtable

Speaking Engagements

  • Speaker, “On the ETF Radar: What’s New and What’s Next,” Legal Forum of 2017 ICI General Membership Meeting
  • Panelist, “SEC and Exchange Initiatives: What to Expect and How to Prepare,” New York Stock Exchange ETF Regulatory Summit
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