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.
In particular, Mark represents clients in connection with:
- drafting and reviewing registration statements, proxy statements and other regulatory filings, as well as other legal documentation for the formation, organization and ongoing operations of registered investment companies and commodity pools
- preparing applications for rule changes to securities exchanges permitting listing of exchange traded funds
- drafting exemptive orders seeking relief from certain federal securities laws
- representing investment companies in responding to regulatory issues raised by federal regulators
- advising independent board members of registered investment companies on various transactional, regulatory and compliance matters, including in their review of advisory and distribution contracts