Joan E. Boros

Counsel

jboros@stradley.com

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Joan Boros

Overview

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.

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Representative Matters

  • counseled the lead insurer on the features, disclosure and marketing of their alternative investment-oriented variable annuity and other evolving novel product designs
  • represented, since its formation in 1996, the mutual fund, one series of which is focused on small cap investing, that is a current and past recipient of recognition for performance by Lipper and the New York Times
  • represented an insurer in the initial design and offering of a variable life insurance contract distributed through a major unaffiliated sales force
  • counseled investment advisers in the fulfillment of their duties and compliance programs as advisers to registered mutual funds
  • represented the insurer in the design and distribution of the first successfully offered unregistered fixed index annuity and has applied that experience to the evolving designs
  • advised an insurer on the design and marketing of a fixed index life insurance policy
  • counseled an adviser and index provider for launch of family of ETF funds
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Credentials

Bar Admissions
  • District of Columbia
  • Maryland
Education
  • University of Maryland Carey Law School
  • B.A., George Washington University (Contributed attendance at Vassar College)
Memberships

  • American Bar Association
  • Association of Life Insurance Counsel
  • Co-Founder of National Association of Fixed Annuities (former Member of the Board of Directors)
  • Federal Bar Association
  • Retirement Industry Income Association (Member of the Board of Directors, Secretary, and Governance Committee of its Retirement Management Analyst (RMAsm) - FINRA acknowledged designation)

Speaking Engagements

  • Moderator, “Adopting Best Practices,” Retirement Income Industry Association
  • Co-presenter, “Recent Product Trends Including Latest Indexed Product Innovative Designs and Regulatory Developments,” American Law Institute
  • Presenter, “Beyond No Self Interest,” Retirement Income Industry Association
  • Co-chair, Annual Practising Law Institute Program on issues relating to securities, tax, state regulation, CEA and ERISA issues affecting insurance companies and other regulated entities (continuing 2015 and for the past 17 years)
  • Co-chair and presenter, Annual ALI-ABA Conference on Securities, Tax and ERISA Issues Affecting Insurance Companies (for nine years)
  • Moderator and Presenter, Retirement Industry Income Association Annual Meeting on Regulation and Litigation in Shaping Clients’ Needs and Goals
  • Special guest speaker, various national training programs on fund and insurance product securities law issues
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