Elise M. Dolan advises registered funds (including mutual funds and closed-end funds), their investment advisers and their boards of directors/trustees on a wide range of matters relating to the development and launch of new funds, fund reorganizations, acquisitions, and mergers, regulatory and compliance matters relating to existing funds, fund governance issues, and SEC examinations.
Ms. Dolan also represents broker-dealers and has experience with the initial organization and registration of new broker-dealers as well as ongoing registration, compliance, supervision, licensing, sales practice, and suitability matters. Ms. Dolan also assists broker-dealers in connection with SEC and FINRA examinations and enforcement actions.
Georgetown University, B.S., 1999
The Catholic University of America, Columbus School of Law, J.D., 2002
District of Columbia