Mutual Funds Law Securities Regulation
David C. Mahaffey
Recognized in Best Lawyers since 2009 Awarded Practice Areas
Biography
David is the managing partner of the Washington, D.C. office, as well as the co-leader of the Investment Management Group. Prior to joining Sullivan & Worcester, David was Special Counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher. He previously served as Assistant General Counsel for Legislation and Investment Company and Adviser Regulation at the Securities and Exchange Commission and as Counsel to SEC Commissioner Aulana Peters.
Overview
- Harvard University, J.D., graduated 1982
- Princeton University, B.A., graduated 1979
- District of Columbia, The District of Columbia Bar
- Princeton University - Medieval Studies Advisory Council
- U.S. District Court, District of Columbia
- U.S. Court of Appeals for the District of Columbia Circuit
- District of Columbia, The District of Columbia Bar
- Princeton University - Medieval Studies Advisory Council
- Harvard University, J.D., graduated 1982
- Princeton University, B.A., graduated 1979
- U.S. District Court, District of Columbia
- U.S. Court of Appeals for the District of Columbia Circuit
Client Testimonials
Awards & Focus
Recognized in The Best Lawyers in America® 2026 for work in:
- Mutual Funds Law
- Securities Regulation
Additional Areas of Practice:
- Securities / Capital Markets Law
Awards:
Chambers Global, Ranked in Investment Funds (2021-2023)
- Chambers USA, Ranked in Investment Funds (Nationwide) (2015-2022)
- The Legal 500 U.S. (2012-2022)
Best Lawyers in America® (2009-2023)
- Washington, D.C. Super Lawyers, Securities/Corporate Finance (2014-2017)
Martindale-Hubbell featured AV® Peer Review Rated
News & Media
Additional Information
- Experience
- Representing mutual funds and their independent directors in connection with the organization, offering and operation of mutual funds
- Representing investment advisers and broker-dealers with respect to regulatory matters and law enforcement investigations arising under the federal securities laws
- Advising public companies concerning their status under the Investment Company Act of 1940
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