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Carol A. Gehl is a shareholder in the Securities Practice Group of Godfrey & Kahn, S.C. where she practices in securities law, with particular emphasis on investment companies, investment advisers, and SEC compliance and reporting obligations. Prior to joining Godfrey & Kahn in 1992, Carol was an attorney with the Securities and Exchange Commission in the Division of Investment Management's Chief Counsel's Office. During this time, Carol issued numerous no-action letters dealing with a variety of investment company and investment adviser matters; acted as a liaison between the Commission's regional enforcement offices; and dealt with many registration issues. A 1987 graduate of the University of Wisconsin Law School, Carol clerked for the Wisconsin Commissioner of Securities while receiving her legal education.
Representative Matters
Represented a number of start-up mutual funds in connection with SEC registration and compliance and provides on-going advice.
Represented several entities in the formation or restructuring of investment advisory activities.
Restructured the distribution channels for several mutual funds. Assisted in numerous SEC examinations of mutual funds and investment advisers. Provided ongoing advice to mutual fund Boards of Directors, including advice to outside directors. Structured broker-dealer acquisitions. Established several private investment partnerships.
Assisted in the development of several investment management advertising campaigns, including website issues.
Admitted to Practice
Wisconsin - 1987
Professional Association Memberships
Wisconsin State Bar Association
Activities
State Bar of Wisconsin Subcommittee on Investment Companies - Chairperson
First Stage Children's Theater - Director
Wisconsin Conservatory of Music - Trustee
Education
Juris Doctor, University of Wisconsin Law School, 1987.
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