Contact Information

901 K Street, NW
Washington , DC  20001 US
Tel: 202-661-7179
Fax: 202-737-5184

  • Share
  • |
  • Print
  • |
  • Email

Ivy Wafford Duke

Counsel

Main Biography

Ivy Wafford Duke is Counsel in Seward & Kissel’s Investment Management Group, and is located in the Washington, D.C. office. Ivy’s practice focuses on legal and regulatory matters governed by the Investment Company Act of 1940 and the federal securities laws. With over twenty years of experience in this practice area, including extensive in-house experience, Ivy has particular expertise in counseling registered investment companies. In addition, Ivy has broad experience with registered investment adviser and broker-dealer legal and regulatory matters. This includes SEC and Blue Sky (State) compliance, as well as MSRB, FINRA, and other SRO regulations. She is involved with several professional, non-profit and civic organizations.

Ivy holds licenses as a General Securities Representative (Series 7), Investment Company Products/Variable Contracts Principal (Series 26) and Municipal Fund Securities Limited Principal (Series 51); as well as the Claritas Investment Certificate from the CFA Institute.

Ivy received a B.A. from the University of Virginia, a J.D. from the University of Virginia School of Law, and a Master of Laws (LL.M.) in Financial and Securities Regulation from Georgetown University Law Center.

Education

  • Master of Laws, Georgetown University Law Center, 2001
  • J.D., University of Virginia School of Law, 1993
  • B.A., University of Virginia, 1990

Bar Admissions

  • District of Columbia
  • Pennsylvania