PRACTICE AREAS


Joel Goldberg represents mutual funds, closed-end funds, ETFs and business development companies (or their independent board members), as well as investment advisers and other industry service providers. He also counsels mutual fund management teams and independent directors. 

Mr. Goldberg has particular experience in the areas of mutual fund regulation and investment adviser regulation. He regularly advises clients on complex questions relating to distribution, including issues arising under
Rule 12b-1.

He has lectured frequently and participated in many panels on these and related subjects.

In addition to his 30 years’ experience in private practice, Mr. Goldberg has significant public sector experience, having served as Director of the Securities and Exchange Commission’s Division of Investment Management. 

HONORS & AWARDS

Mr. Goldberg has been recognized or recommended by several industry publications for his work. He has been listed in Chambers USA: America's Leading Lawyers for Business, Super Lawyers and The Best Lawyers in America. Mr. Goldberg has also been recommended by The Legal 500 United States.

Mr. Goldberg is also the recipient of Institutional Investor's Fund Director Intelligence "Lifetime Achievement Award" for his years of work in the mutual funds industry.

PUBLICATIONS

Mr. Goldberg is the author or co-author of numerous articles.

ADMITTED TO PRACTICE

District of Columbia, 1978; New York, 1971


EDUCATION

J.D., Columbia Law School, 1970

B.A., Brandeis University, 1967