PANEL: NEW-TO-MARKET ETF ROUNDTABLE

Michael leads our Regulatory Services team – a unified team including those from Regulatory Support Services, Regulatory Support and Compliance and Regulatory Administration – and has been with the organization for over ten years. Michael and his team provide support to funds and their legal counsel on SEC regulatory matters involving the Investment Company Act of 1940 and related federal securities laws and regulations. He provides legal assistance, primarily with respect to the registration and regulation of ETFs and mutual funds, as well as the operation and governance of investment companies. His work includes the formation of new investment companies, assisting advisers in obtaining exemptive relief, and the registration of new funds, as well as educating mutual fund and ETF advisers and sponsors about regulatory requirements and issues affecting product design and fund operations. Michael previously served as an officer of ETF Series Solutions, where he helped more than 40 ETF sponsors bring products to market.