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Overview

Dan Fallon is a partner in Chapman’s Corporate and Securities Department and a member of the Investment Management Group.

He represents investment companies—including open-end funds, exchange-traded funds, and unit investment trusts—and their sponsors and advisers. Focusing his practice on the formation, registration, and ongoing regulatory compliance of registered funds, Dan has advised clients on the launch of hundreds of ETFs and the deposit of thousands of UITs. Many of the matters he addresses in his practice involve bringing fund sponsors from start to finish in registered fund formation and providing ongoing legal and regulatory support. As part of Chapman’s Investment Management Group, Dan also has extensive experience working with fund sponsors and securities regulators to bring new and innovative registered funds to market.

In addition to his fund-related work, Dan represents broker-dealers and investment advisers and advises on general corporate compliance matters.

Dan participated in the firm’s summer associate program in 2008 and joined the firm in 2009. Prior to joining Chapman and Cutler, he served as an extern to Judge Jesse Reyes, Circuit Court of Cook County.

Representative Matters

  • Representation 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.
  • Representation of investment companies, particularly ETFs and open-end funds, in matters regarding their organization, federal and state registration, preparation of offering materials, regulatory analysis 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. 

Admitted

Illinois, 2009

Education

University of Notre Dame Law School, J.D., cum laude, 2009

  • Senior Articles Editor, Notre Dame Journal of Legislation

University of Wisconsin - Madison, B.A., History, 2005

We have always been focused on finance.

  • 1913
    TS Chapman partners with Henry Cutler to form Chapman and Cutler
  • 1st
    Chapman's first client in 1913 is still a client of the firm today
  • 22
    Diverse financial practices serving regional, national, and global clients
  • 6
    Offices across the country and in key US financial centers

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