Morrison Warren is a partner in the Corporate and Securities Department and is co-chair of the firm's Investment Management Practice Group. Morrison's experience includes extensive work in the corporate and securities area with an emphasis on investment companies, including open-end funds, closed-end funds, exchange-traded funds, unit investment trusts and private investment companies. His experience also includes matters involving the representation of broker-dealers, investment advisers and municipal securities dealers. In addition, he has represented publicly held companies with respect to their compliance with stock exchange requirements and federal securities laws.
Morrison previously served as Associate Counsel of Nuveen Investments. At Nuveen, his practice concentrated in securities and corporate law matters with an emphasis on investment company issues. He represented Nuveen in its capacity as a sponsor of investment company products, a broker-dealer, an investment adviser and a NYSE member. Responsibilities included legal issues involving the offering, organization, operation and reporting requirements of unit investment trusts, closed-end funds and open-end funds; and open and closed-end fund mergers and reorganizations.
- Co-Chair of Investment Management Practice Group at Chapman and Cutler LLP
- Co-Chair of Chicago Bar Association, CBA Investment Company Committee from 2003-2005 and 2011-present
- Adjunct Professor, Illinois Institute of Technology Kent College of Law, Master of Financial Services Law Program from 2003-2015
- Member of the Policy Committee of Chapman and Cutler LLP
- The representation of numerous open-end, closed-end and exchange-traded funds in matters regarding their organization, federal registration and compliance issues. These funds serve as investment vehicles for both retail investors and variable annuity separate accounts.
- The representation of several hundred unit investment trusts and their sponsors in matters regarding their organization, federal and state registration, primary and secondary market offerings, and continuing compliance obligations.
- The representation of sponsors of numerous private investment companies in matters regarding the organization, offering, operation and compliance requirements of such funds.
- The representation of broker-dealers in matters regarding their organization and registration with FINRA, MSRB and SEC; continuing compliance obligations; periodic filings and their preparation of compliance manuals and supervisory procedures.
- The representation of investment advisers with regard to their organization, federal and state registration requirements, advertising restrictions, contract provisions, periodic filings and continuing compliance obligations.
- The representation of an alternative trading system with regard to its organization, preparation of supervisory and compliance procedures and federal registration.
- Co-Author, "Interval and Tender Offer Closed-End Funds: Investment Company Alternatives to Traditional Funds," Journal of Investment Compliance. Vol. 20, No. 4, 2019, doi: 10.1108/JOIC-08-2019-0048.
- Co-Author, “SEC Approves Generic Listing Standards for Actively-Managed ETFs,” Investment Lawyer. November 1, 2016.
- Co-Author, “Domestic and Regulatory Treatment of ETFs – United States,” 17 Derivatives and Financial Instruments. February 5, 2015.
Honors & Awards
Recognized by the Law Bulletin Publishing Company in 2003 as one of the "Forty Illinois Attorneys under Forty to Watch."
Passed Series 7 General Securities Representative Exam in July 1994
Passed Series 63 Uniform Securities Agent State Law Exam in October 1995
Passed Series 65 Uniform Investment Advisor Law Exam in February 1997
University of Notre Dame Law School, J.D., 1991
- Development Editor, Notre Dame Journal of Legislation
Occidental College, A.B., Political Science, 1988
Chicago Bar Association