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This content is provided by Stephen E Roth.

Practice Areas

Steve focuses on financial services regulatory issues, including federal and state requirements applicable to 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 fixed 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 trustees with respect to compliance with Investment Company Act requirements, and assists fund sponsors in developing innovative mutual funds and other pooled investment vehicles.