Gary E. Brooks
Gary is an associate in the corporate department and a member of the firm’s asset management group. His practice focuses on the investment management industry. Gary works with U.S.-registered investment companies and their independent board members, investment advisers, and other fund service providers on a wide range of regulatory, transactional, compliance, governance and fiduciary matters.
Gary has broad experience advising investment companies and investment advisers on complex regulatory and compliance matters arising under the federal securities laws, including the Investment Company Act of 1940 and the Investment Advisers Act of 1940. He has extensive experience advising clients on the organization, registration, operation and reorganization of registered investment companies, including open-end funds, closed-end funds, and exchange-traded funds. He advises registered investment companies on SEC filings, including registration statement, shareholder report, information statement and proxy statement filings, as well as a variety of regulatory matters. Gary also works with board members of registered investment companies on governance practices and fiduciary oversight matters, conflicts and regulatory issues, and other matters.
Gary has experience working with broker-dealers on different regulatory, compliance and fund distribution matters.
Prior to joining Ropes & Gray, Gary was an associate at another international law firm where his practice had a similar focus on the investment management industry and registered investment companies, their boards, and investment advisers. During law school, he worked as a legal intern for the Financial Industry Regulatory Authority and served as the production editor of the University of Pennsylvania Journal of Business Law.
- Co-author, “SEC and NFA Examinations: New Registrants, Areas of Regulatory Focus and Compliance Issues,” The Investment Lawyer (December 2014)
- Co-author, “Enforcement Actions Continue Three-Year Decline; DOJ Emerges as Major Player,” Bloomberg BNA’s Banking Report (May 2014)
- JD, University of Pennsylvania Carey Law School, 2013; Production Editor, University of Pennsylvania Journal of Business Law
- Certificate in Business Economics and Public Policy, The Wharton School of the University of Pennsylvania, 2013
- BS (International Business), University of Maryland, College Park, Robert H. Smith School of Business, 2008
Admissions / Qualifications
- District of Columbia, 2015
- New York, 2014