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David C. Mahaffey is a partner in the Investment Management Group in our Washington, D.C. office. Prior to joining Sullivan & Worcester, Mr. Mahaffey was Special Counsel in the Washington, D.C. office of Gibson, Dunn & Crutcher LLP. 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. Representative Client Work 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 Bar & Court Admissions District of Columbia, 1982 U.S. District Court, District of Columbia U.S. Court of Appeals for the District of Columbia Circuit Publications "Fund Boards Expected to Focus on Sub-Prime Exposure, Derivatives," ACA Compliance Group IM Insight (quoted) (July 2007) "Pleading Reform, Plaintiff Qualification and Discovery Stays Under the Reform Act," 51 Business Lawyer 1101 (1996) (co-author) "Pleading Standards and Discovery Stays," 10 Insights 9 (February 1996) "The SEC s New Executive Compensation and Shareholder Communications Rules," 27 Beverly Hills Bar Association Journal (Spring 1993) (co-author) "Executive Compensation, Disclosure and Shareholder Communications Rules Adopted," Corporate Governance Advisor (October/November 1992) (co-author) "Full Disclosure, Market Discipline, and Risk Taking: Rethinking Confidentiality in Bank Regulation," 69 Washington University Law Quarterly 1117 (1991) (co-author) Speaking Engagements Suffolk University Law School, The Global Challenge in Investment Management (April 2002) Institute for International Research, Directed Brokerage & Soft Dollars Forum (July 2001, February 2001, July 1999, January 1999) Investment Company Institute, Investment Company Directors Conferences (November 1999 and October 1997, October 1996, and October 1995) Institute for International Research, Investment Adviser Compliance Forum (July 1997) Investment Company Institute, Annual Mutual Funds and Investments Conference (March 1996) Glasser LegalWorks, Conference on the Private Securities Litigation Reform Act (January 1996) The ABA's Committee on Federal Regulation of Securities, Fall Meeting (November 1995) Investment Company Institute, Securities Law Procedures Conference (December 1994) American Society of Corporate Secretaries, Mid-Atlantic Chapter, Fall Meeting (October 1993) Investment Company Institute, Investment Advisers Conference (July 1993) IBC USA Conferences Inc., Tax Exempt Derivatives (November 1992) Deloitte & Touche, Program on the SEC Staff Study of the Investment Company Act (July 1992) Professional & Civic Activities Princeton University, Medieval Studies Advisory Council SEC Historical Society Commissioners' Committee Education J.D., Harvard Law School, 1982 B.A., cum laude, Princeton University, 1979 | 