John Falco

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.