Eric's practice focuses on financial services, including mutual funds, closed-end funds, exchange-traded funds and commodity pools, and their boards of directors on issues regarding regulatory compliance and product development. He assists clients in navigating laws administered by the Securities and Exchange Commission (SEC), Commodity Futures Trading Commission (CFTC) and National Futures Association (NFA), and state securities laws. He also advises investment advisers on issues relating to registration and compliance policies and procedures. Eric often advises exchange-traded funds (including exchange-traded commodity pools) in connection with their exemptive relief and the launch of new funds, as well as non-investment companies on issues regarding their status under the Investment Company Act of 1940.
Eric also served as a law clerk to the Honorable William E. Smith of the United States District Court for the District of Rhode Island.
Bar & Court Admissions
- District of Columbia
- J.D., magna cum laude, Order of the Coif, American University Washington College of Law
- B.A., summa cum laude, Middlebury College
- Advisory Board, Administrative Law Review
Press ReleaseJanuary 16, 2019
Press ReleaseJanuary 3, 2019
ETF Express, QuotedApril 19, 2018
Press ReleaseApril 11, 2018
Review of Securities & Commodities RegulationJanuary 10, 2018
Press ReleaseNovember 9, 2017
Seminars & Presentations
- Mutual Fund Directors Forum Exchange-Traded Funds: A Director's Guide
Webinar, Mutual Fund Directors Forum (April 27, 2017)