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Joseph (Beau) Yanoshik

Associate

Beau Yanoshik focuses his practice on the regulation of investment companies and investment advisers. He advises clients on forming and registering investment companies, including exchange-traded investment companies, and he provides ongoing advice regarding various regulatory compliance and securities law issues. Additionally, Beau counsels on transactional matters, including reorganizations, mergers, and acquisitions involving investment companies. He additionally assists with regulatory filings and in obtaining exemptive and no-action relief from various provisions of the Investment Company Act of 1940.

Extended Profile

During law school, Beau was a senior editor for the University of Pennsylvania Journal of International Economic Law. Prior to law school, he worked for a national consulting firm offering services in economics, finance, and business analytics. 

Education

  • Pennsylvania State University, 2002, Bachelor of Science
  • University of Pennsylvania Law School, 2006, Juris Doctor

Admissions

  • District of Columbia
  • New Jersey
  • Pennsylvania

Awards and Affiliations

Member, Practice Group of the Year, Asset Management, Law360 (2017)

University of Pennsylvania, Wharton School of Business, 2006, Certificate in Business and Public Policy

Recipient, Outstanding Service Award from the University of Pennsylvania Public Service Program

Publications

2016–2019 - ETF Roundup

June 2019 - ETF Roundup – Issue 5

3/4/2019 - SEC Staff Relieves Fund Boards of Certain In-Person Voting Requirements

August 2018 - ETF Roundup – Issue 4

November 2017 - ETF Roundup – Issue 3

April 2017 - ETF Roundup – Issue 2

December 2016 - ETF Roundup – Issue 1

4/1/2016 - SEC Staff Issues No-Action Letter on Index Fund Investments in Insurance Companies and Securities Related Businesses

5/7/2013 - Appeals Court Hears Oral Argument in Challenge to CFTC Regulations Affecting Registered Investment Companies

Events

3/7/2017 - SEC Adopts Liquidity Risk Management Rules

1/20/2016 - SEC Proposes Liquidity Risk-Management Rules