Joel Corriero

Having been involved in the launch, approval and listing of several novel investment products, Joel Corriero is well-versed in the latest in alternative and emerging exchange-traded products (ETPs). He counsels investment companies — including exchange-traded funds (ETFs), closed-end funds, alternative funds and mutual funds — and investment advisers on the full spectrum of regulatory and compliance matters.

Notably, Joel has counseled on niche investment products, including crypto-focused ETPs, options-based defined outcome funds, and managed futures and private credit ETFs relying on U.S. Securities and Exchange Commission (SEC) Rule 6c-11. He has also been instrumental in assisting his clients with Section 351 conversions of private funds and separate accounts into registered vehicles, such as ETFs and interval funds.

On behalf of investment companies, Joel advises on all aspects of the representation, including matters pertaining to their initial creation such as formation of their advisers and establishment of their boards, and continued compliance with the federal securities laws. Joel also counsels ETFs and closed-end funds on matters relating to exchange listing and compliance. He has experience in closed-end fund initial public offerings (IPOs); alternative fund structure and design; ETF and other ETP capital markets, including negotiations with authorized participants and market makers for transactions in ETF and other ETP shares; and matters impacting insurance-dedicated mutual funds.

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.