Insights & News

ICI Investment Management Conference Resources

March 17-18, 2025

Stradley Ronon’s top-ranked investment management group regularly advises clients on a wide variety of ETF-related matters, delivering practical solutions to our ETF clients, their sponsors and investment advisers. We provide our clients with experienced guidance to help navigate the complex regulatory and market environments in which ETFs are developed, launched and operated. To keep you informed of recent developments, we have compiled an informational resource center below that includes background on Stradley Ronon’s Investment Management services, and our recent related thought leadership on some of the trending topics.

REPORT: Making Sense of ETF Share Class Applications

We are excited to announce the launch of the industry’s first report on ETF share class applications, which you can view below. Our interactive report analyzes the 51 exemptive applications currently pending before the SEC, in which asset managers and fund complexes seek permission to use a unique multiple share class structure. This interactive report will serve as a key resource for the fund industry to easily assess and access each ETF share class application and track developments over time.

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PODCAST: Diving into ETFs: Are You Ready for a Sea Change?

Before you join us at the Investment Company Institute’s 2025 Investment Management Conference, get a sneak peek of our lunch-and-learn panel “Diving into ETFs: Are You Ready for a Sea Change?” by tuning in to our latest podcast episode!

Also available on Apple Podcasts

STRADLEY RONON'S LUNCH & LEARN SESSION - March 17 at 12 p.m.

Diving into ETFs - Are You Ready for a Sea Change?

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CLE FORM (60-minute CLE credit is pending for CA, IL, PA and TX with NJ & NY credit being applied through reciprocity.)

CLE Attendance and Evaluation Form

SPEAKER BIOS:

Mena Larmour focuses her practice on counseling registered investment companies (including mutual funds, closed-end funds, interval funds and exchange-traded funds), independent trustees and investment advisers on a wide range of regulatory, corporate and transactional matters. Specifically, Mena’s practice includes assisting clients with the development and launch of new funds and share classes, fund restructurings, reorganizations and mergers, regulatory and compliance matters relating to existing funds, fund governance issues and the applicability and interpretation of federal and state securities laws.. Read more...

Mark Greer concentrates his practice on representing registered investment companies, independent board members and registered investment advisers on a broad range of regulatory and compliance matters that arise under U.S. federal securities laws, particularly the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Commodity Exchange Act, and related rules and regulations. Read more...

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. Read more...

Brian Murphy provides unique insight into the investment management industry as both a former in-house counsel at one of the world’s largest asset management firms and a former lawyer at the U.S. Securities and Exchange Commission (SEC). Prior to joining Stradley Ronon, Brian served as an in-house counsel, where he led multiple legal teams focusing on product development, portfolio management, fund disclosures, federal and state investment limitations, and multiple share class ETF structures. Read more...

CLIENT ALERTS:

WEBCASTS & PODCASTS:

PODCAST: The SEC Under New Management

Before the Investment Company Institute’s 2025 Investment Management Conference, Stradley Ronon partners and former SEC staff members David Grim, Jan Folena and Brian Murphy share what it’s like inside an agency in transition on the latest Talking Investment Management podcast episode.

Our podcasters discuss:

New SEC leadership on the horizon.
What to expect in terms of rulemaking, enforcement and priorities.
Perspectives from their time at the SEC.

Also available on Apple Podcasts

NEWS:

UPCOMING EVENTS:

DFIN AND STRADLEY RONON HAVE CO-PRODUCED THE INVESTMENT COMPANY ACT OF 1940 AND INVESTMENT ADVISERS ACT OF 1940 (30th Edition):

In the newly released 30th edition of the “Investment Company Act of 1940 and Investment Advisers Act of 1940”, our Stradley Ronon investment management practice revised the book to include 2025 updates, including new revisions to Regulation S-P regarding Response Programs for Unauthorized Access to Customer Information and Disposal of Customer Information. If you are interested in obtaining a copy, please click on the image below and complete the form to download a PDF.

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