Education

University of Iowa College of Law, J.D., 2005

London School of Economics, MSc, Theory and History of International Relations, with distinction, 2002

Northwestern University, B.A., 2000

Admitted

Illinois, 2006

New York, 2006

Memberships

The London School of Economics Alumni of Chicago, President Chair

Association for Corporate Counsel

British American Business Council

Chicago Council on Global Affairs

Languages

Spanish

Margo Rocklin has been an associate in the firm’s Corporate and Securities Department since 2012. Prior to joining the firm, Margo served as a Corporate Attorney and Vice President of Northern Trust Global Investments and as an Associate Investment Consultant in the Defined Contribution Group of Callan Associates, Inc. She also worked in Madrid, Spain as a reporter for Guidepost Magazine.

Margo has experience drafting and negotiating investment management agreements, investment guidelines, subadvisory contracts, and trusts for institutional and high net worth clients. She has advised on investment products, due diligence best practices, corporate legal rights, obligations and privileges relating to strategic risks, liquidity, securities lending, operational considerations, and compliance with Investment Advisers Act of 1940. Margo currently focuses her practice in the corporate and securities area with an emphasis on investment companies including unit investment trusts, private funds, open-end funds, and closed-end funds.

Selected Matters

  • The representation of hundreds of unit investment trusts and their sponsors in matters regarding their organization, federal and state registration, primary and secondary market offerings, advertising, and continuing compliance obligations. These funds have consisted of equity securities including foreign securities, exchange-traded funds, shares of other investment companies, municipal bonds, corporate bonds, U.S. Treasury securities, government agency and government-sponsored enterprise securities, sovereign debt obligations, real estate investment trusts, preferred securities, and derivatives.
  • The negotiation investment management agreements and investment guidelines including strategic analysis of key industry trends.
  • Helping investment managers understand and adapt to a constantly changing regulatory environment including issues related to the Jumpstart Our Business Startups Act promulgated under The Dodd-Frank Wall Street Reform and Consumer Protection Act and related rulemaking.
  • Working with investment advisers regarding their organization, federal and state registration requirements, advertising restrictions, contract provisions, periodic filings, and compliance obligations.

Publications

  • "Place the Death Penalty on a Tripod, or Make It Stand on Its Own Two Feet?," Rutgers Journal of Law and Public Policy, Fall 2007

Honors & Awards

  • Named a “Rising Star” by Illinois Super Lawyers in 2014