Overview

Veena Jain is an experienced investment management attorney with a focus on exchange-traded funds (ETFs) and mutual funds, including money market funds and fund of funds. She provides effective and informed counsel on regulatory and governance matters to clients in the investment management industry— such as registered investment companies and their boards — during the formation, wind-up and reorganization of registered investment companies. Veena is experienced in SEC-registered investment adviser formation, compliance and business issues. She also assists clients in structuring new types of financial products and services, and represents them in obtaining Securities and Exchange Commission (SEC) exemptive and no-action relief. Her experience with fund complexes and the growing diversity of fund structures allows her to guide clients as they seek to grow market share in a competitive industry.

SEC Experience

Veena brings an experienced view of federal regulations as a former attorney in the Chief Counsel’s Office in the SEC’s Division of Investment Management where she responded to no-action and interpretive requests arising under the Investment Company Act of 1940 and the Investment Advisers Act of 1940, and worked on policy and rule-making initiatives. While at the SEC, Veena also focused on interpretations of the Securities Act of 1933 and the Securities Exchange Act of 1934 as they applied to investment companies and investment advisers.

Credentials

Bar Admissions

Illinois

Education

University of Michigan Law School
J.D.

Northwestern University
B.A. with honors

Insights & Events

Leadership & Community

Professional Associations

  • South Asian Bar Association of Chicago — Former Secretary
  • Women in ETFs, Chicago Chapter
  • Association of SEC Alumni (ASECA)

Civic Activities

  • Working in the Schools Program — Tutor
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