Regulation of Exchange-Traded Funds

Thomas P. Lemke is a retired asset management executive with more than 30 years' experience. Currently, he is an independent director for several mutual fund families. Previously, he was General Counsel and Head of Governance for a global asset management firm. Before that, he was a partner in a major law firm where his practice specialized in investment management and broker-dealer matters. He also spent several years counseling an investment management firm and a bank, including serving as General Counsel and Chief Operating Officer of a mutual fund firm. Mr. Lemke started his career at the Securities and Exchange Commission, where he last served as Chief Counsel of the Division of Investment Management. He received his J.D. in 1979 from the Washington College of Law, The American University.

Gerald T. Lins is General Counsel of Voya Investment Management in New York. Mr. Lins has also been the head lawyer overseeing legal matters for other asset management institutions and fund complexes and, during several years of private practice, concentrated on general corporate and securities laws matters, including the regulation of investment advisers, investment companies, and broker-dealers. Prior to that, Mr. Lins served in the Office of Chief Counsel of the SEC Division of Investment Management. He received his J.D. in 1984 from Harvard Law School.

W. John McGuire is a partner with Morgan, Lewis & Bockius's Investment Management Practice Group in Washington, D.C. He concentrates on investment company and investment adviser regulatory issues and related issues affecting broker-dealers and transfer agents, particularly ETFs. John has assisted clients with the formation or acquisition of investment companies and investment advisers, in addition to providing them with ongoing representation. John routinely handles matters involving the establishment, representation and counseling of ETFs, their advisers, and listing markets. Before entering private practice, John served on the staff of the SEC in its Investment Management Division. He received his J.D. in 1986 from the Washburn University School of Law.