Anne assists investment companies, investment advisers, and private funds in navigating the intricate rules and regulations of the Investment Company Act of 1940 and the Investment Advisers Act of 1940.
This includes counseling her clients on fund structure and compliance with, and exemptions from, those acts.
Before joining the firm, Anne worked as an attorney adviser for the U.S. Small Business Administration, where she employed creditors’ rights, secured transactions and evaluated default loans.
Latest Insights
- legal updatesSEC Division of Examinations publishes Exam Handbook: what investment advisers, broker-dealers, and other registrants should know
- legal updatesSEC proposes sweeping changes to shareholder proposal and proxy solicitation rules
- legal updatesSEC proposes framework permitting default e-delivery of disclosures
Latest News
legal updates
October 16, 2026
SEC Division of Examinations publishes Exam Handbook: what investment advis...
legal updates
October 13, 2026
SEC proposes sweeping changes to shareholder proposal and proxy solicitatio...
legal updates
August 11, 2026
SEC proposes framework permitting default e-delivery of disclosures
Publications
- Corporate Secretary's Answer Book, Updated Annually, Aspen Publishers
- Member, American Bar Association
- District of Columbia
- Virginia
- B.S., Duke University
- J.D., George Mason University School of Law