Peter J. Shea

Qualifications and Career Profile

Peter Shea is a partner in Katten’s Financial Services Practice. His clients range from NYSE-listed exchange traded funds to small private businesses as well as registered open-end mutual funds, close-end mutual funds, investment companies, insurance dedicated mutual funds, hedge funds, investment advisors, broker-dealers and other financial institutions.

Mr. Shea has served as counsel in the following types of matters:

• Formation, registration and compliance for exchange traded funds, mutual funds, closed-end funds and business development companies;
• Creation and operations of hedge funds, distressed asset funds and other private investment vehicles;
• Formation, registration and ongoing compliance requirements of broker-dealers and investment advisers;
• Counsel to independent directors;
• Obtaining SEC no-action and other exemptive relief;
• Formation and financing of start-up companies;
• Public and private equity and debt offerings, including initial public offerings, and public debt and equity exchanges; and
• Ongoing regulatory compliance, SEC reporting and proxy solicitation requirements for public entities.

Mr. Shea has extensive experience as company counsel and fund counsel and has represented businesses in all phases of their development.

Mr. Shea is a former SEC Division of Enforcement Staff Attorney and a member of the ABA Business Law Section (Committee on Federal Regulation of Securities) and the Association of Securities and Exchange Commission Alumni.

Lectures and Articles

Mr. Shea presented the Katten seminar “Pooled Vehicles – Entering the Retail Space” in April 2013. Frequently quoted on a variety of financial services related topics, some of his media mentions include the following:

• "The Forbes List of ETF Best Buys," Forbes (November 16, 2011).
• "BlackRock Seeks to Sell Index ETFs That Can Short Stocks, Bonds," Bloomberg (August 4, 2010).
• “ETFs Rearview Mirror Problem,” Forbes (February 11, 2010).
• “ETFs: Resilient as Ever,” Forbes.com (March 30, 2009).

Education and Bar Admissions

Mr. Shea graduated from the College of William and Mary and the University of Pennsylvania School of Law. He is admitted to practice in North Carolina and New York.