Mutual Funds & ETFs

Vedder advises hundreds of registered funds of all sizes and in all stages of the fund lifecycle. We understand the challenges funds face as they grow and evolve. Whether structuring new vehicles, managing service arrangements or responding to regulatory inquiries, we focus on solutions that balance compliance and flexibility. 

We have extensive experience in all types of fund matters. Our attorneys can assist with the following: 

• Structuring new mutual funds, ETFs, interval funds and closed-end funds
• Handling SEC registrations and exemptive applications, as well as regulatory filings
• Addressing continuing disclosure obligations
• Negotiating contracts related to distribution, brokerage, custody, shareholder servicing and insurance arrangements
• Counseling independent directors on their duties and responsibilities under the law
• Handling compliance matters, including shareholder meeting preparation and proxy solicitation
• Advising on reporting requirements, promotional materials, advertising compliance and electronic distribution
• Handling reorganizational matters, such as a reorganization to a Massachusetts business trust or a Delaware statutory trust
• Acquiring one or more other funds
• Trading in swaps, futures and options contracts and various hedging activities
• Providing representation in administrative proceedings and in securities and commercial litigation matters
• Reviewing and advising on insurance matters
• Assisting clients in SEC inspections