Joshua J Hinderliter
Joshua is a managing associate in the Corporate Transactions & Securities practice. He advises clients in the investment management and financial services industry with a concentration on regulatory and compliance matters.
Joshua regularly advises registered investment companies (including mutual funds, exchange-traded funds (ETFs) and closed-end funds), their investment advisers, and their boards of directors on a wide range of regulatory and corporate matters, such as the development and launch of new funds, regulatory compliance, fund governance, and fund reorganizations and acquisitions. He also regularly represents clients’ interests in interactions with the staff of the U.S. Securities and Exchange Commission (SEC).
Joshua’s experience with ETFs includes obtaining SEC exemptive relief, the organization and launch of new ETF complexes, and advising on a wide range of operational and compliance issues unique to ETFs.
In addition to representing investment companies, Joshua assists clients with forming and registering broker-dealer entities with the Financial Industry Regulatory Authority (FINRA) as well as offering ongoing compliance advice to broker-dealers. He also assists registered investment advisers with formation, registration, and ongoing regulatory compliance matters.
- “Electronic Disclosure: SEC Requirements and the Form CRS Business Case,” 2020 Whitepaper authored in partnership with InvestorCOM Inc.
- “SEC Adopts New Rule for Fund of Funds Arrangements,” Thompson Hine Investment Management Update, October 2020
- “The ETF Evolution Continues: SEC Approves Four New “Proxy Basket” Active Semi-Transparent ETFs,” Thompson Hine ETF Reg Insights, December 2019
- "ETF Complexes Should Prepare Now to Comply with New Rule 6c-11 to be in a Position to Unlock Its Key Regulatory Advantages by Year-End," Thompson Hine ETF Reg Insights, October 2019
- Presenter, "SEC’s New Marketing Rule – Testimonials, Endorsements and Solicitation Activity," Thompson Hine's Investment Management Coffee Chat Webinar Series, March 10, 2021
- Columbus Bar Association
- Ohio State Bar Association
- Harrison West Society, Vice President (September 2017 – present)
- Short North Foundation, Board Member (October 2018 – present)
- Tenant Advocacy Project, Legal Aid Society of Columbus
- Big Brothers Big Sisters of Central Ohio (2011–2015)
- Law and Leadership Institute, Moritz Board Fellow (2015–2016)
- Mentor, Columbus City Schools (September 2018-present)
Co-author, Source Code: A Compliance Guide for Robo-Advisers, www.roboadviserblog.com