Laura N. Ferrell represents investment funds, fund sponsors, investment advisers, broker-dealers, investment banks and other financial institutions in connection with the formation of investment funds, the structuring and distribution of investment products, securities offerings, corporate governance, regulatory and compliance matters, and other corporate matters.
In the registered investment company area, Ms. Ferrell advises clients in the structuring, operation and regulation of closed-end funds and mutual funds. She has represented fund sponsors and underwriters in developing new investment products, in initial public offerings of closed-end funds and in secondary market financings, including at-the-market offerings, rights offerings, and debt and preferred securities offerings by such funds. Ms. Ferrell regularly counsels investment funds and their boards of directors and investment advisers in connection with corporate governance, regulatory and compliance issues. Ms. Ferrell also represents fund sponsors and closed-end funds in connection with non-routine matters, such as in seeking and obtaining exemptive or no-action relief from the Securities and Exchange Commission and FINRA, and in responding to shareholder activism. Additionally, she advises asset management companies in connection with the regulatory and compliance implications of regulatory investigations and enforcement proceedings.
Ms. Ferrell also represents asset management companies and other financial institutions in connection with their transactional activities, such as mergers and acquisitions, divestitures and split-offs of operational groups. She has represented various clients in developing innovative products and product structures to pursue registered and unregistered alternative strategies.
Ms. Ferrell has represented clients such as the Guggenheim Funds, the BlackRock Funds and the Invesco Van Kampen Funds, and underwriters of closed-end funds, such as UBS and Wells Fargo, in connection with offerings by closed-end funds sponsored by firms including Eaton Vance, PIMCO, Nuveen, John Hancock and Ares.