Tanya L. Cody

Tanya L. Cody: Attorney with Greenberg Traurig, LLP
  • Of Counsel at Greenberg Traurig, LLP (2041 Attorneys)
  • 2200 Ross Avenue, Suite 5200, Dallas, TX 75201
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Biography

Tanya L. Cody advises investment companies, including mutual funds, exchange-traded funds (ETFs), interval funds, closed-end funds, and other financial services industry clients on the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, and FINRA regulations.

Tanya’s representation of investment companies has included advice on formation and continued operations, including exemptive relief from the SEC in connection with various matters arising under the Investment Company Act of 1940. She also has experience on a breadth of transactions, including mutual fund reorganizations and mergers and hedge fund conversions to mutual funds and has advised on a broad range of investments, including derivative products and other alternative investments.

Tanya also counsels investment company boards of directors, private funds, and investment advisers. She advises on structuring, formation and continued operations both to domestic and offshore private investment vehicles, including hedge funds and private equity funds, among others.

Tanya’s in-house experience includes serving as lead counsel for registration matters for a large investment management, insurance products, and financial services company with more than 160 registered mutual funds and $49 billion in assets under management.

Concentrations

•Investment management
•Investment Company Act of 1940
•Investment Advisers Act of 1940
•Securities and Exchange Commission (SEC) filings, including securities registrations
•Compliance programs of registered investment companies and registered investment advisers
•Mutual fund reorganizations
•Hedge fund conversions to mutual funds
•Exemptive relief from the SEC in connection with various matters arising under the Investment Company Act of Multiclass closed-end funds
•Investment advisory agreements
•Agreements with fund service providers

Recognition & Leadership

Awards & Accolades

•Recipient, “Best ETF Lawyer,” EFT.com, 2016 - Tanya’s prior firm received the award as a result of the innovation and advocacy of the two-person ETF team of which she was a member.

Areas of Practice (1)

  • Corporate

Education & Credentials

Contact Information:
214.665.3685  Phone
214.665.3600  Phone
www.gtlaw.com/en/professionals/g/goins-tanya
University Attended:
Harvard University, A.B., Psychology, 1999
Law School Attended:
Georgetown University Law Center, J.D., 2002
Year of First Admission:
2003
Admission:
2007, Georgia; 2003, Ohio; 2013, District of Columbia
Memberships:

Professional & Community Involvement

•Member, State Bar of Georgia
•Member, District of Columbia Bar
•Member, State Bar of Texas
•Member, American Bar Association
•Member, Harvard Club of Dallas

Reported Cases:
Experience: Investment Companies: Served as lead attorney in connection with the representation of multiple open-end investment companies.; Served as lead attorney in connection with the organization and registration of multiple closed-end investment companies operating as interval funds under the 1940 Act.; Served as counsel to independent directors of several investment companies.; Obtained exemptive relief from the SEC in connection with various matters arising under the 1940 Act.; Obtained no-action assurances from the staff of the SEC in connection with various matters arising under the 1940 Act.; Counseled ETFs regarding exchange listing requirements and related regulations.; Converted numerous hedge funds with portable performance records into registered mutual funds and closed-end funds.; Developed compliance policies and procedures required under Rule 38a-1 of the Investment Company Act of 1940.; Counseled clients in connection with examinations by the SEC and self-regulatory organizations (SROs).; Investment Advisors: Advised investment adviser clients on a range of issues, including formation, registration with the U.S. Securities and Exchange Commission (SEC) and states' securities authorities, as well as raising capital.; Developed compliance policies and procedures required under Rule 206(4)-7 of the Investment Advisers Act of 1940.; Counseled clients in connection with examinations by the SEC and SROs.; The above representations were handled by Ms. Cody prior to her joining Greenberg Traurig, LLP.; In-House Experience: Vice President and Senior Counsel, Transamerica Asset Management, Inc. 2011-2012
ISLN:
919854541

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Documents (1)

Documents by this lawyer on Martindale.com

Dallas, Texas

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