Insights & News

Stradley Ronon Hosts Webinar to Discuss the SEC’s Proposed Derivatives Rule

July 27, 2020
Firm News
WASHINGTON, D.C. – Stradley Ronon hosted the webinar, "The SEC’s Fund Derivatives Rule: What’s in the Comments, and Is the Finish Line Approaching?" on July 27. The panelists included David Grim, Nicole Simon, and Christopher Zimmerman, partners in Stradley Ronon’s Investment Management Group, as well as Kenneth Fang, Assistant General Counsel at the Investment Company Institute, and Jonathan Siegel, Senior Legal Counsel at T. Rowe Price. The webinar covered the main issues raised in the comment letters submitted to the U.S. Securities and Exchange Commission (SEC) on proposed rule amendments that would govern the use of derivatives and certain other transactions by registered investment companies and business development companies, and what to watch for next.

Grim provides counsel on all aspects of investment management law, assisting advisers, funds, and directors with the largest and most complex issues they confront today. Grim assists clients with a unique perspective developed during his over 20 years of public service in the SEC’s Division of Investment Management, including his time as one of only a small number of people who has served as the top regulator of the asset management industry.

Simon counsels a diverse group of clients in the asset management industry, including registered investment companies, private funds, investment advisers, commodity pool operators and commodity trading advisors on a full range of both traditional and novel regulatory issues. In addition to providing regular support to funds and advisers, she frequently advises U.S. and foreign investment managers on the applicability and interpretation of federal securities and commodities laws, including in the context of derivatives and alternative investments. Simon’s practice also involves helping new investment companies and investment advisers subject to multiple regulatory regimes navigate the operational and regulatory aspects of their formation and launch.

Zimmerman focuses his practice on assisting investment companies, investment advisers and boards on various federal and state securities law matters. Among other things, he advises investment companies and investment advisers with respect to their organization, registration and regulation. Specifically, Zimmerman’s practice includes assisting clients with registration and regulation of new and existing funds, board matters, fund restructurings, securities lending, and the use of derivatives by investment companies.

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.

Related Resources

back to top