REPRESENTATIVE EXPERIENCE
Steve regularly counsels clients concerning the following issues:
- Sales practices, market conduct and other compliance issues affecting investment advisers, broker-dealers and other distributors of financial products.
- Insurance regulatory and licensing matters.
- Mergers and acquisitions.
- Reinsurance transactions.
PROFESSIONAL HONORS AND AWARDS
- Recognized by Chambers USA: Guide to Leading Business Lawyers in the area of insurance regulation and investment funds (2008-2013)
- Named to The Best Lawyers in America in the area of mutual funds law (2005-2013)
PROFESSIONAL AND COMMUNITY INVOLVEMENT
- Member, Board of Governors, Association of Life Insurance Counsel
- Co-chair, ALI-ABA Conference on Life Insurance Company Products (1999-Present)
RECENT PUBLICATIONS AND SPEAKING ENGAGEMENTS
- Co-author, “Securities or Not: Uncertainties Remain For Fixed Insurance Products After Dodd-Frank,” BNA Securities Regulation & Law Report (October 18, 2010)
- Co-author, “Navigating the SEC Framework for Registered Non-Variable Annuity Products,” The Review of Securities & Commodities Regulation (June 2010)
- Co-author, “Changes in Living Benefits and Other Fixed and Variable Insurance Product Evolutions,” Insured Retirement Institute (IRI) Annual Meeting (June 2009)
- Co-author, “Reorganizing Insurance Company Separate Accounts Under Federal Securities Laws,” 46 The Business Lawyer 537 (1991)
- Speaker, “Trends in Annuity Product Development,” Insured Retirement Institute (IRI) Litigation Summit (June 17, 2013)
- Speaker, "Regulation of Variable Annuity and Variable Life Insurance Products Under the Federal Securities Laws," PLI Securities Products of Insurance Companies and Evolving Regulatory Reform Conference (January 25, 2012)
- Speaker, “Fixed Annuity Trends and Issues,” Society of Actuaries Life & Annuity Symposium (May 16-17, 2011)
- Speaker, “The Securities Status of Fixed Indexed Annuities and Other Products in the Aftermath of the Harkin Amendment and the Withdrawal of Rule 151A,” ALIC Annual Meeting (May 14-17, 2011)
- Speaker, “Guaranteed Retirement Income Products and Bank Collective Trusts,” ALI-ABA Collective Trust Funds Current Banking SEC and ERISA Regulatory and Compliance Issues (May 5, 2011)
- Speaker, “Selected Regulatory Developments Affecting Variable Insurance Products and Underlying Funds,” PLI’s Investment Management Institute (February 10-11, 2011)
- Speaker, “Regulation of Variable Annuity and Variable Life Insurance Products under the Federal Securities Laws,” PLI’s Securities Products of Insurance Companies in the Face of Regulatory Reform (January 28, 2011)
- Speaker, “Regulation of Variable Annuity and Variable Life Insurance Products Under the Federal Securities Laws,” PLI’s Securities Products of Insurance Companies in the Face of Regulatory Reform 2010 (January 29, 2010)
- Speaker, “The Federal Regulation of Insurance,” Sutherland Regulatory Symposium (June 25, 2009)
- Speaker, “Synthetic Guaranteed Lifetime Withdrawal Benefit Offerings: Legal and Practical Issues,” ALIC Annual Meeting (May 2009)
- Speaker, “Synthetic Guaranteed Lifetime Withdrawal Benefit Offerings: Legal and Practical Issues,” PLI’s Investment Management Institute (April 2009)
- Speaker, “Securities Regulation of Variable Insurance Products,” PLI’s Understanding the Securities Products of Insurance Companies 2009 (January 5-6, 2009)
- Speaker, “Hot Topics in Insurance Products,” PLI’s Investment Management Institute (April 24-25, 2008)
- Speaker, “The Securities Status of Life Insurance Company Products,” PLI’s Understanding the Securities Products of Insurance Companies Conference (January 2008)
- Speaker, “Regulatory and Litigation Developments Related to Revenue Sharing Arrangements,” ALIC Annual Meeting (May 7-8, 2007)
- Speaker, “Fitting Variable Life Insurance and Variable Annuities into the Regulatory Framework of the Investment Company Act of 1940,” PLI’s Understanding the Securities Products of Insurance Companies Conference (January 2007)
- Speaker, “Current Variable Insurance Products Trends and Issues,” ALI-ABA Investment Management Regulation Conference (November 30-December 1, 2006)
- Speaker, “Fitting Variable Life Insurance and Variable Annuities into the Regulatory Framework of the Investment Company Act of 1940,” PLI’s Understanding the Securities Products of Insurance Companies (January 9-10, 2006)
- Speaker, “Corporate Governance Best Practices for Insurance Companies: The Current Perspective,” ALIC Annual Meeting (May 21-22, 2005)
- Speaker, “The SEC’s New Compliance Rule 38a-1: Designing an Effective Compliance Program,” American Council of Life Insurers’ (ACLI) Compliance Section Annual Meeting (July 13-15, 2004)
