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Joseph M. Toner

Senior Associate

Toner, Joseph

Joseph Toner counsels financial services companies on regulatory, compliance and transactional matters and advises clients on the federal securities laws administered by the US Securities and Exchange Commission and the Commodity Futures Trading Commission. He has particular experience in advising investment companies, investment advisers and commodity pool operators, and in analyzing rules and regulations pursuant to the Dodd-Frank Wall Street Reform and Consumer Protection Act.

Prior to joining the firm, Mr. Toner worked as an associate at firms in Washington DC and Atlanta, where he represented businesses in corporate, securities and transactional practices.

Publications & News

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February 5, 2018

Midterm Congressional Election Year Merits Extra Pay-to-Play Vigilance by Investment Advisers

October 24, 2016

Liquidity Management and Reporting Modernization Rulemaking

On October 13, 2016, the Securities and Exchange Commission approved three new rules under the Investment Company Act of 1940.

July 7, 2016

SEC Proposes New Requirement for Business Continuity Plans for Investment Advisers

On June 28, 2016, the Securities and Exchange Commission proposed a rule that would require all SEC-registered investment advisers to adopt and implement a business continuity and transition plan.

Practices

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Education

JD, Washington and Lee University School of Law, 2011

BA, University of Virginia, 2008

Bar Admissions

District of Columbia

Georgia

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