Joan E. Boros is an innovative and practical counselor to the various entities creating, advising and offering registered and unregistered retail investment company and insurance products. With the participation of other members of the Firm, she provides guidance on tax, CFTC and ERISA issues.
The focus of her practice on these investment offerings extends to all aspects of the formation or design, qualification, state and federal registration, regulation and compliance of retail investment companies, variable and other insurance products and related entities such as investment advisers and broker-dealers.
Joan advises clients on the ongoing Dodd-Frank legislation’s changes with regard to the regulation of entities, securities offerings, and advisory and distribution issues. She frequently provides analysis and advice regarding changes to relevant securities laws as they apply to prior and evolved versions of various registered and unregistered insurance products, mutual funds, ETFs, unit investment trusts, variable insurance products, alternative forms of deferred annuities, and traditional fixed and fixed index products.
Joan gained specific training as an attorney-advisor in the Office of the Solicitor for the U.S. Department of Labor and in the Securities and Exchange Commission’s Division of Investment Management early in her legal career. Before entering law school, she was a business promotion and marketing consultant to foreign businesses and governments.