Joe is an associate in the firm’s Financial Industry Group. Joe’s practice focuses on advising financial institutions on federal and state regulatory and compliance matters. Joe advises investment funds and investment advisers on the federal laws that govern the securities industry such as the Investment Advisers Act, the Investment Company Act, the Securities Act, and the Securities Exchange Act, including the U.S. Securities and Exchange Commission’s (SEC) rules thereunder. Joe helps commodity pool operators (CPOs) and commodity trading advisors (CTAs) comply with the Commodity Exchange Act and the U.S. Commodity Futures Trading Commission’s (CFTC) rules thereunder.