Joel Corriero primarily counsels investment companies, including exchange-traded funds (ETFs), mutual funds, insurance-dedicated funds and closed-end funds, and investment advisers on regulatory and compliance matters. For investment companies, Joel advises on all aspects of the representation, including matters pertaining to their initial creation, including formation of their advisers and establishment of their boards, and continued compliance with the federal securities laws. For ETFs and closed-end funds, Joel advises on matters relating to exchange listing and compliance. He is also experienced in closed-end fund initial public offerings (IPOs), negotiations with authorized participants and market makers for transactions in ETF shares and matters impacting insurance-dedicated funds, including their design, marketing, sale and regulation.
In addition, Joel drafts and reviews critical fund documents, such as registration statements, proxy solicitation materials, and exchange listing applications. He also counsels on transactional matters, such as mergers and acquisitions, and has experience drafting and negotiating various agreements for investment companies and investment advisers.