Adam T. Teufel

adam-teufel

Adam T. Teufel

Partner

Washington, D.C. | 1900 K Street, NW, Washington, DC 20006-1110
+1 202 261 3464 | +1 202 261 3333

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Adam T. Teufel regularly advises registered funds (including mutual funds, exchange-traded funds and closed-end funds), their investment advisers and their boards of directors on a wide range of corporate matters, such as the development and launch of new funds, regulatory compliance matters for existing funds, fund governance issues, and fund/adviser reorganizations and acquisitions. He routinely represents funds and advisers before the SEC in response to inquiries and examinations. Mr. Teufel has significant experience with exchange-traded funds (ETFs) and their advisers, including obtaining SEC exemptive relief, the launch of novel ETF products and advising on a wide range of operational and compliance issues unique to index and actively-managed ETFs.

Mr. Teufel also represents broker-dealers (including registered fund distributors and private fund placement agents) and has extensive experience with the initial organization and registration of new broker-dealers, as well as ongoing registration, compliance, supervision, licensing, sales practice, advertising and suitability matters. Mr. Teufel also assists broker-dealers in connection with SEC and FINRA inspections and examinations.

Education
  • Emory University, B.B.A., 2001
  • The Catholic University of America, Columbus School of Law, J.D., 2006, cum laude, Securities Law Program concentration certificate, Summer Honors Program intern with the Securities and Exchange Commission, Note & Comment Editor of the Journal of Contemporary Health Law & Policy
Admissions
  • District of Columbia
  • Florida