Michael W. Mundt

Michael Mundt


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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Bar Admissions
  • Admitted only in Virginia
  • Practice limited to federal securities law matters
  • J.D., Georgetown University Law Center
  • M.A., Louisiana State University
  • B.A., cum laude, Louisiana State University, Phi Beta Kappa


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Speaking Engagements

  • Panelist, “Charting New Waters: Crypto ETPs, ETF Share Classes and Other New Products,” Stradley Ronon at ICI 2024 Investment Management Conference
  • Panelist, “The Funds They Are A-Changin: A Closer Look at Mutual Fund to ETF Conversions,” Stradley Ronon at ICI 2023 Investment Management Conference
  • Panelist, "Looking Backward and Moving Forward: Implementing the SEC's 2020 Fund Rules," Securities Law Developments Virtual Conference Program
  • Panelist, “Converting Mutual Funds into ETFs,” Independent Directors Council’s Virtual Fund Directors Workshop
  • Panelist, “So Many Rules, So Little Time,” ICI Mutual Fund and Investment Management Conference
  • Panelist, “Converting an Open-End Fund to an ETF,” Independent Directors Council’s Virtual Fund Directors Conference
  • Panelist, “Legal & Regulatory Updates for 2020,” New York Stock Exchange’s Virtual ETF Industry Summit
  • Panelist, “Unwrapping the ETF Rule & Its Impact,” Inside ETFs
  • Presenter, “How the New ETF Rule Changes the Regulatory Landscape,” Stradley Ronon Webcast
  • Panelist, “The ETF Rule: SEC Update & Practicalities of the Rule,” Inside ETFs Conference
  • Panelist, “SEC’s Proposed ETF Rule – Breaking Down the Rule Proposal,” Women in ETFs Philadelphia Chapter Event
  • Panelist, “The Growing Regulatory Burden Everywhere and Its Effect on Boards of Directors,” Institutional Governance and Legal Symposium
  • Speaker, “What’s Brewing with ETFs?,” ICI Mutual Funds and Investment Management Conference
  • Panelist, “Trends in ETFs,” Women in ETFs Philadelphia Chapter
  • Speaker, “On the ETF Radar: What’s New and What’s Next,”  ICI 2017 Legal Forum General Membership Meeting
  • Panelist, “SEC Regulatory Environment,” PwC Asset & Wealth Management Conference
  • Keynote Speaker, NICSA 2016 Midwest Regional Meeting
  • Panelist, “Regulations and Product Rollouts: The Future of ETFs,” Ignites Exchange Webcast
  • Panelist, “Understanding the Current ETF Regulatory Climate,” ETF Boot Camp NYC
  • Presenter, “Life After the Financial Crisis,” ICI Mutual Funds and Investment Management Conference
  • Panelist, “Non-Transparent Active ETFs: What Recent SEC Movement May Mean for the ETF Industry,” Washington, D.C. Bar Association
  • Presenter, “Are We There Yet? The Latest Developments in Less-Transparent Exchange-Traded Products,” ICI 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,” Inside ETFs 2014 Conference 
  • Presenter, “The Future of ETF Regulation,” Inside ETFs 2014 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 at ICI 2013 Mutual Funds and Investment Management Conference
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  • Best Lawyers, The Best Lawyers in America
  • Chambers USA: America's Leading Lawyers for Business, recognized for nationwide investment funds: registered funds
  • The Legal 500 U.S., recommended for mutual/registered funds
  • 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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