Loyola University Chicago School of Law, J.D., 1993
Augustana College, B.A., Finance and Business Management, 1990
Scott Anderson is a partner in the firm's Corporate and Securities Department and has been practicing law since 1993 when he joined Chapman and Cutler. Scott concentrates his practice in corporate and securities law matters with particular emphasis on investment companies, including unit investment trusts, open-end funds, closed-end funds, hedge funds and private equity funds. His experience also includes matters involving the representation of investment advisers, broker-dealers and municipal securities dealers.
Selected matters which Scott has led or been significantly involved with include:
- Representation of investment companies in matters regarding their organization, federal and state registration, preparation of offering materials and compliance obligations.
- Representation of investment advisers with regard to their organization, federal and state registration requirements, advertising restrictions, contract provisions, periodic filings, continuing compliance obligations and their preparation of compliance manuals and supervisory procedures.
- Representation of several hundred 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, municipal bonds, corporate bonds, U.S. Treasury securities, government agency and government-sponsored enterprise securities, sovereign debt obligations, preferred stocks, real estate investment trusts and trust preferred securities. These funds have also included “fund of funds” structures and trusts that serve as funding vehicles for variable annuity separate accounts.
- Representation of sponsors in connection with the formation and operation of hedge funds and private equity funds, including ongoing compliance obligations.
- Representation of institutional and high net worth investors in reviewing, structuring and negotiating their investment in private equity funds and hedge funds.
- Preparing and negotiating applications for exemptions from federal securities laws and “no-action” requests with the staff of the Securities and Exchange Commission.
- The representation of broker-dealers in matters regarding their organization and registration with the NASD, MSRB and SEC, continuing compliance obligations, periodic filings, and their preparation of compliance manuals and supervisory procedures.
- Advising operating companies and underwriters on the status of companies under the Investment Company Act of 1940 and structures that may avoid inadvertent investment company status.