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John has counseled clients on a number of issues, including: the formation and reorganization of mutual funds, business development companies (BDCs) and closed-end funds; the registration and listing requirements for closed-end funds and exchange traded funds (ETFs); managed futures mutual funds; issues related to the use of derivatives and swap agreements; proxy contests involving closed-end funds and activist shareholders; distribution and networking related contracts for mutual funds, investment advisers and broker dealers; compliance advice, mock SEC examinations and internal investigations; and mutual fund investment adviser marketing and advertising. John represents clients in a number of regulatory matters and has served as counsel to an SEC receivership.

On July 22, 2024, the Securities and Exchange Commission (SEC) declared nine registration statements effective under the Securities Act of 1933 for spot Ether ETFs, clearing the way for the ETFs to begin trading on July 23. Spot Ether ETFs are exchange-traded funds (ETFs) that invest directly in Ether, a digital asset that supports the