Nicole M. Crum

Nicole M. Crum is a partner in the Investment Management Group of our Washington, D.C. office. Ms. Crum’s practice focuses on the representation of mutual funds (including ETFs and socially responsible funds) and their independent directors, as well as broker-dealers and investment advisers. Ms. Crum counsels mutual funds and their independent directors on the organization, offering and operation of mutual funds. Ms. Crum counsels U.S. and non-U.S. financial services clients on all aspects of SEC and self-regulatory organization registration and regulation, including issues relating to the registration status of U.S. and non-U.S. entities, client disclosure, the development of new products, changes in ownership or control, acquisitions finder arrangements, examinations, and reporting and recordkeeping requirements. Ms. Crum also advises on Commodity Futures Trading Commission registration and securities fraud matters. Prior to joining Sullivan & Worcester, Ms. Crum was an associate at Winston & Strawn LLP and Baker & McKenzie LLP.

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