Stephen E Roth

Practice Areas

Steve focuses on the U.S. regulatory requirements applicable to the financial services industry, including federal securities and state regulatory requirements applicable to life insurance companies and their products, as well as mutual funds and other pooled investment vehicles. He advises insurance companies regarding development of new insurance and retirement income products, including registering variable and index-linked life insurance and annuity products with the SEC and counsels insurers regarding related ongoing securities disclosure and other compliance issues. He advises mutual funds and mutual fund directors with respect to compliance with Investment Company Act requirements, and assists fund sponsors in developing innovative mutual funds and other pooled investment vehicles. Steve is lead counsel for the Committee of Annuity Insurers, a coalition of 32 life insurance companies representing approximately 80 percent of the annuity business in the U.S., which for over 40 years has been a prominent advocate before the SEC, the NAIC and FINRA of regulatory policy affecting annuity and other retirement income products. He has served as co-chair of the ALI-CLE Conference on Life Insurance Company Products for 26 years.