Stuart Strauss

stuart-strauss

Stuart Strauss

Partner

New York | Three Bryant Park, 1095 Avenue of the Americas, New York, NY, United States of America 10036-6797
+1 212 698 3529 | +1 212 698 3599

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Stuart Strauss advises investment companies and their independent directors, banks, and other financial institutions on matters pertaining to U.S. securities laws, particularly the Investment Company Act of 1940 and the Investment Advisers Act of 1940.

Mr. Strauss has more than 25 years of corporate and securities legal experience, including three years as an attorney with the Securities and Exchange Commission. He devotes his practice to the representation of investment companies, independent directors of investment companies, banks, and other financial institutions.

Mr. Strauss has particular expertise in the area of exchange-traded funds (ETFs) and represents a significant number of ETF sponsors and ETF fund complexes. He has been instrumental in obtaining innovative exemptive relief for ETF sponsors, including the first exemptive order authorizing an actively managed ETF, and in developing unique ETF products.

Mr. Strauss has been recognized by Chambers USA as a leading lawyer in investment management. The most recent edition stated that he is "highly intelligent, very knowledgeable and applies practical solutions to difficult problems.” Past editions noted that he “is valued for his expertise in SEC matters and for his in-depth knowledge of ETFs” and that he “enjoys a prominent reputation in the ETF space, representing a multitude of substantial sponsors and fund complexes. He also helps financial institutions, as well as investment companies and their independent directors, to navigate complex SEC regulations.” He has also been recognized in The Legal 500 (US), which has stated that he is “extremely knowledgeable about ’40 Act funds and consistently provides timely, accurate advice.” He is also listed in The Best Lawyers in America for mutual funds law.

Education
  • The Wharton School, University of Pennsylvania, B.A., 1975
  • St. John’s University School of Law, J.D., 1978
  • Georgetown University, LL.M., Taxation, 1981
Admissions
  • New York
Speaking Engagements
  • 2018 NYSE ETF Summit — Presented by the New York Stock Exchange, New York (May 1, 2018)

    Speaker, "2018 NYSE ETF Summit" panel discussions included the following topics: Growth drivers for the current active ETF marketplace; Proposed product structures and where we are headed; Developing a liquidity pool for active ETFs; and Regulatory landscape.
  • Current Developments Affecting the Fund Industry - San Antonio, TX (March 20, 2018)
  • Current Issues in ETF Regulation — The Investment Company Institute (ICI) 2017 Securities Law Developments Conference, Washington, D.C. (December 7, 2017)

    Speaker, "Current Issues in ETF Regulation" panel examined how regulatory developments could affect one’s organization and the potential for being successful in the fund industry.
  • Current Developments Affecting the Fund Industry - Orlando (March, 2016)
  • 2nd Annual Capital Link Dissect ETFs Forum — A Seminar Provided by Capital Link Forum, New York, NY (October 13, 2015)

    Moderator, "2nd Annual Capital Link Dissect ETFs Forum" seminar provided an interactive platform combining rich educational and informational content, marketing and networking.
  • ETF Trading Strategies: Accessibility and Profitability — IMN 16th Annual Super Bowl of Indexing, Phoenix, AZ (December 4, 2011)