Insights & News

Stradley Ronon Partners Discuss the New Exchange-Traded Fund Rule

October 16, 2019
Firm News
PHILADELPHIA – Stradley Ronon Partners Michael W. Mundt, Steve Feinour and Joel Corriero presented a webcast on the new exchange-traded fund (ETF) rule on Oct. 15. The webcast, “How the New ETF Rule Changes the Regulatory Landscape,” discussed the key features of new Rule 6c-11 under the Investment Company Act of 1940 and changes to related disclosure requirements.

Mundt is nationally recognized for his work in the area of 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.

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 ETFs. He is also a frequent speaker on ETF related topics.

Corriero primarily counsels investment companies, including ETFs, mutual funds, variable insurance funds and closed-end funds, and investment advisers on regulatory and compliance matters. For investment companies, particularly ETFs, he advises on all aspects of the representation, including creation, listing, and continued compliance with both the federal securities laws and exchange listing rules. Corriero is also experienced in the negotiation of authorized participant agreements for transactions in ETF shares.

About Stradley Ronon
Counseling clients since 1926, Stradley Ronon has helped private and public companies – from small businesses to Fortune 500 corporations – achieve their goals by providing pragmatic, value-driven legal counsel. With offices in eight strategic locations, our responsive team of more than 200 attorneys seamlessly addresses the full spectrum of our clients’ needs, ranging from sophisticated corporate transactions to complex commercial litigation.
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