Michael W. Mundt

Partner

mmundt@stradley.com

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Michael Mundt

Overview

Michael Mundt is nationally recognized for his work in the area of exchange-traded funds (ETFs). He assists clients with all phases of the complex regulatory process required to introduce and operate index-based and actively managed ETFs, as well as next generation exchange-traded products. More generally, he counsels investment advisers and investment companies on a wide range of issues arising under the Investment Company Act of 1940 and other federal securities laws.

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Results

Credentials

Bar Admissions
  • Virginia
Education
  • J.D., Georgetown University Law Center
  • M.A., Louisiana State University
  • B.A., cum laude, Louisiana State University, Phi Beta Kappa

Speaking Engagements

  • Presenter, “Are We There Yet? The Latest Developments in Less-Transparent Exchange-Traded Products,” ICI’s 2015 Legal Forum
  • Panelist, “Building the Legal and Compliance Framework,” ETF Boot Camp
  • Panelist, “An Overview of Exchange-Traded Funds Regulation,” ALI CLE Mutual Funds Today: Current Issues and Developments in Fund Regulation and Compliance 
  • Presenter, “What Directors Need to Know About the Evolving ETF Landscape,” Mutual Fund Directors Forum Webinar 
  • Panelist, “DIY – A Guide to Building, Registering & Selling a New ETF,” 7th Annual Inside ETFs 2014 Conference 
  • Presenter, “The Future of ETF Regulation,” 7th Annual Inside ETFs Conference 
  • Presenter, “What’s on the ETF Horizon? The Latest in Regulatory and Product Developments,” Stradley Ronon ETF Presentation 
  • Panelist, “Interactive Workshop on Organizing, Advising, and Investing in Active or Index-Based Exchange-Traded Funds (ETFs),” ALI CLE Mutual Funds Today: Current Issues and Developments in Fund Regulation and Compliance 
  • Presenter, “What’s New in ETFs?,” Stradley Ronon Seminar at the ICI General Membership Meeting 
  • Presenter, “What’s on the ETF Horizon?,” Stradley Ronon Seminar at the 2013 Mutual Funds and Investment Management Conference 
  • Presenter, “Active ETFs: The Path to Product,” Stradley Ronon ETF Presentation 
  • Presenter, “Exchange-Traded Funds: The Current Landscape and Relevant Board Considerations,” Mutual Fund Directors Forum Webinar 
  • Presenter, “Active ETFs: The Path to Product,” Stradley Ronon ETF Presentation 
  • Panelist, “Understanding the Key Differences Between ETFs and Mutual Funds,” Deloitte’s Dbriefs Financial Services Industry Series Webinar 
  • Panelist, “The Director’s Point of View”, Stradley Ronon Seminar for Independent Directors/Trustees 
  • Presenter, “Exchange-Traded Funds: Regulatory Issues and Future Trends,” Stradley Ronon Seminar at the ICI General Membership Meeting 
  • Panelist, “Adapting Your Investment Strategy in a Changing Investment and Regulatory Landscape,” World Series of ETFs and Investment Management Conference 
  • Panelist, “Exchange Traded Funds,” Philadelphia Bar Association Investment Companies Committee Meeting 
  • Panelist, “Not Your Father’s Mutual Fund,” ICI Mutual Risk Managers Conference 
  • Panelist, “Meeting Qualitative and Regulatory Requirements and Goals,” Information Management Network’s 16th Annual Super Bowl of Indexing Conference 
  • Presenter, “ETFs: The Current State of Regulation and a Look Forward,” Stradley Ronon ETF Webinar
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Recognition

  • Awards received while at the SEC: 
    • Paul R. Carey Award, which honors an SEC staff member who demonstrates exceptional personal commitment on a significant policy matter (received in recognition of his ETF work) 
    • Chairman’s Award for Excellence for analyzing and responding to the market events of May 6, 2010
    • Martha Platt Award, which is given to a staff member of the Division of Investment Management who displays outstanding dedication, enthusiasm and commitment to the mission of the SEC
    • Capital Markets Award, received as a member of September 11, 2001 recovery team
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