JOHN L. SULLIVAN

Counsel
Corporate

EXPERIENCE:

John Sullivan is counsel in the Washington, D.C., office of Wilson Sonsini Goodrich & Rosati, where he practices securities regulatory law. He primarily counsels investment advisers and private fund sponsors on regulatory matters involving the federal securities laws and other financial services regulations, but he also advises companies to help ensure that they do not have to register as investment companies under the Investment Company Act of 1940 (the "1940 Act").

Prior to joining the firm, John was a senior compliance consultant, where he specialized in reviewing and developing the compliance programs of registered investment companies and investment advisers. Previously, he was counsel at a law firm with a nationally recognized asset management practice, where he, among other things, helped investment companies secure no-action and exemptive relief from provisions of the 1940 Act. John has also served as in-house counsel to an asset management firm and as an attorney at the U.S. Securities and Exchange Commission in the Division of Investment Management, where he, among other things, examined the merits of applications for exemptive relief from the provisions of the 1940 Act and requests for interpretive guidance and no-action letters under the 1940 Act and the Investment Advisers Act of 1940.

EDUCATION:
  • J.D., New York University School of Law
  • A.B., History, University of Michigan
SELECT PUBLICATIONS:
ADMISSIONS:
  • Bar of the District of Columbia
  • State Bar of New York