- Financial Services
- Banking & Financial Institutions
- Insurance Regulatory and Compliance
- Investment Adviser
- Retirement Products & Services
- Privacy & Data Security
|Contact Info||Telephone: 202.383.0741|
|University ||Brown University, B.S.|
|Law School||Vanderbilt University Law School, J.D. Associate Editor, Vanderbilt Law Review, Order of the Coif|
|Admitted||1992, Michigan; 1993, District of Columbia|
|Born||Philadelphia, Pennsylvania, June 27, 1964|
With more than 20 years experience in insurance, securities and banking law, Eric Arnold helps insurance companies, broker-dealers and investment advisers manage the complex distribution of insurance and investment products while balancing the disparate challenges of complying with increased regulatory processes, and doing so in an economically efficient manner.
Eric frequently reviews, revises and updates broker-dealer clients' compliance manuals and procedures to reflect the impact of new rules, regulations and interpretations. He regularly advises broker-dealer and investment advisers on financial, operational and reporting requirements, including privacy, suitability and compensation issues.
On the transactional side, Eric counsels financial services clients on changes to their distribution structures, which includes providing assistance with adding to, subtracting from, and/or consolidating and combining broker-dealer, investment adviser and insurance agency operations in compliance with the applicable regulatory structure.
Since the passage of the Dodd-Frank Act, Eric closely follows the developing role of federal oversight of insurance activities.
Sutherland counsels a coalition of major life insurance companies on evolving state and federal regulations and other legal developments.
Financial services company relies on Sutherland in establishing a retirement plan platform to facilitate product distribution.
Sutherland provides broker-dealers with counsel on day-to-day regulatory obligations.
Documents by this lawyer on Martindale.com
NASAA M&A Broker Model Rule
Eric A. Arnold,Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Yasho Lahiri, April 10, 2015
On January 15, 2015, the Broker-Dealer Section of the North American Securities Administrators Association (NASAA) requested comments on a proposed uniform state model rule (the Model Rule) regarding the exemption of certain merger and acquisition brokers (M&A Brokers) from state registration...
Broker-Dealers Face Unique Challenges Under Unclaimed Property Laws, Says New SIFMA White Paper
Peter J. Anderson,Eric A. Arnold,Bruce M. Bettigole,Olga Greenberg,Clifford E. Kirsch, February 13, 2015
On January 23, 2015, the Securities Industry and Financial Markets Association (SIFMA) released a new white paper outlining the unique and varied challenges broker-dealers face when complying with state unclaimed property laws and regulations. The paper, entitled “In Brief: Unclaimed Property...
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