Tom has an insider’s knowledge of the U.S. Securities and Exchange Commission (SEC).
He helps financial institutions, including insurance companies, banks and mutual funds, comply with SEC rulings and regulatory requirements. Tom follows new developments in regulatory issues and guides his clients in matters affecting mutual funds, variable insurance products, fixed annuity contracts, and equity index products.
Before joining Eversheds Sutherland (US), Tom served as a senior counsel in the Office of Insurance Products in the SEC’s Division of Investment Management, working on investment company registration statements, exemptive applications and no-action letters, and participating in rulemaking projects and investment company examinations. He spent two years as a staff attorney in the Division of Market Regulation. Tom participated in several significant SEC projects, including the October 1987 Market Break Study.
- District of Columbia
- Pennsylvania
- J.D., Boston University School of Law
- LL.M., Georgetown University Law Center
- B.S., magna cum laude, Villanova University
Latest Insights
- InsightsNAIC Life and Annuities (A) Committee adopts amendments to Actuarial Guideline 49-A
- InsightsNAIC Indexed Universal Life Illustration Subgroup solicits comment on options to revise Actuarial Guideline 49-A and to open NAIC Life Insurance Illustrations Model Regulation (#582) to revision
- InsightsNAIC’s LATF solicits feedback on options to address concerns related to AG 49-A
- InsightsOn the right track: Securities & Exchange Commission adopts rules to streamline private offering exemptions
- InsightsSEC modernizes the description of business, legal proceedings, and risk factors disclosure requirements
- InsightsSEC proposes to overhaul framework for mutual fund and ETF disclosure to shareholders
- InsightsSEC creates fast track for exemptive applications
- InsightsCOVID-19-related insurance regulatory developments
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- InsightsPandemic Risk Reinsurance Program introduced in Congress
- InsightsCoronavirus – The SEC extends relief from in-person board meeting requirement for investment companies
- InsightsCOVID-19-related insurance regulatory developments
- InsightsCOVID-19-related insurance regulatory developments for the week of March 23
- InsightsSEC extends flexibility due to COVID-19
- InsightsOn track with the SEC—staff proposes rules on streamlining private exemptions
- InsightsCOVID-19-related insurance regulatory developments
- InsightsSEC adopts groundbreaking disclosure improvements for variable insurance contracts
- InsightsCoronavirus – The SEC provides relief for investment companies
- InsightsDOL Reproposes Expanded ERISA Fiduciary Definition and Revised Complex of Exemptions
Insights
NAIC Life and Annuities (A) Committee adopts amendments to Actuarial Guidel...
Insights
NAIC Indexed Universal Life Illustration Subgroup solicits comment on optio...
Insights
NAIC’s LATF solicits feedback on options to address concerns related to AG ...
Insights
On the right track: Securities & Exchange Commission adopts rules to stream...