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James M. Cain: Lawyer with Sutherland Asbill & Brennan LLP

James M. Cain

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James M. Cain
Partner
Washington,  DC  U.S.A.
Phone202.383.0180

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Practice Areas

  • Energy and Environmental
  • Financial Services
  • Corporate
  • Banking and Financial Institutions
  • Broker-Dealer
  • Corporate Governance
  • Derivatives and Structured Products
  • Exchange Traded Funds
  • Finance
  • Hedge Funds
  • Technology
  • Insurance Finance
  • International
  • Leveraged Capital
  • Mergers and Acquisitions
  • Public Finance
  • Regulatory
  • Regulatory Reform Task Force
  • Retirement Products and Services
  • Securities and Corporate Governance
  • Subprime Lending and Structured Finance
 
Contact InfoTelephone: 202.383.0180
Fax: 202-637-3593
http://www.sutherland.com/james_cain/
 
University University of Notre Dame, A.B., 1976
 
Law SchoolGeorgetown University Law Center, J.D., 1979
 
Admitted1980, Nevada; 1981, California; 1986, District of Columbia
 
BornDanbury, Connecticut, April 14, 1955
 
Biography

Jamie Cain, a member of Sutherland's Corporate Practice Group, is well-versed in general corporate law and in the interpretation and application of federal securities and banking laws and state insurance laws. He also is a member of the firm's Sarbanes-Oxley Committee and reviews responses to auditors. Actively involved in the firm's transactional practice, Jamie has extensive experience with public and private securities offerings by U.S. and foreign companies and with mergers and acquisitions of these companies. He is nationally known for his experience with respect to the use of over-the-counter (OTC) derivatives including interest rate, foreign exchange, equity and commodity transactions, and related collateral arrangements. Since 1985, he has represented a wide range of financial institutions and commercial companies in documenting such transactions, as well as internal and regulatory compliance.

Jamie also is recognized for his experience advising insurers, banks and broker-dealers in connection with cross-industry acquisitions and in the distribution of their respective products both domestically and internationally. He routinely advises such institutions with respect to compliance with the myriad of federal and state laws applicable to such transactions.

Before joining the firm, Jamie practiced for two years in San Francisco after spending two years as a foreign legal consultant with a large law firm in Seoul, South Korea. Prior to that assignment, Jamie served as a law clerk to the Honorable Edward C. Reed of the U.S. District Court and an appellate attorney with the Washoe County District Attorney's office in Reno, Nevada.

Representative Experience

Jamie has extensive experience in various areas of corporate law:

Derivatives

· Advising public and private companies regarding compliance with Title VII of the Dodd-Frank Act and CFTC, SEC and federal bank regulations issued under the Act.

· Advising a working group of major life insurers regarding cleared swap transaction documentation.

· Advising the U.S. subsidiary of a major foreign oil and gas producer and trader in developing standard International Swaps and Derivatives Association (ISDA) documentation and policies for OTC oil and gas transactions and negotiating ISDA agreements with various counterparties for such company.

· Advising Dow Jones Industrial Average (DJIA) companies and their foreign affiliates on OTC derivatives transactions, including interest rate, FX, equity and commodity transactions.

· Advising government-sponsored enterprises (GSEs) on OTC interest rate transactions and related ISDA Master Agreements and collateral arrangements under ISDA Credit Support Annex.

· Advising foreign governments on OTC derivatives.

· Advising numerous companies on termination and unwinding OTC transactions with Lehman, Bear Sterns, Enron and their affiliates.

Public and Private Securities Offerings

· Advising a commodity pool operator in establishing one of the first AMEX-traded commodity pools investing in oil futures contracts and other oil interests.

· Advising an agricultural cooperative in connection with its sale through auctions of its $800 million public leasing subsidiary and of its Amex-listed food processing subsidiary.

· Advising a government-sponsored enterprise regarding disclosure and distribution issues in its multi-billion dollar debt programs.

· Advising insurers in various structured finance transactions offered under SEC rule 144A and Regulation S.

· Advising a U.S. NYSE insurer in establishing a Bermuda-domiciled segregated accounts company and offerings outside the United States by such company under Regulation S.

Regulatory Compliance

· Advising a wire house in connection with its structuring and distribution of insurance products domestically and overseas.

· Advising a major bank in connection with federal and state laws regulating premium financing.

· Advising a major bank regarding equity investment in insurance underwriter, insurance agency licensing, broker-dealer issues and compliance with the Gramm-Leach-Bliley Act.

· Advising insurers on third-party marketing arrangements including through banks.

· Advising an insurer in connection with its acquisition of the largest insurance product wholesaler.

· Advising a foreign insurer in connection with potential U.S. Securities and Exchange Commission (SEC) and state insurance regulation actions and compliance with securities, insurance and tax laws.

Professional Honors and Awards

· Named to The Best Lawyers in America in the area of derivatives law (2006-2012)

Professional and Community Involvement

· Member, Banking Law Committee and Derivatives and Futures Law Committee, Business Law Section, American Bar Association

· Member, Law and Compliance Division, Futures Industry Association

· Member, Various ISDA Committees

· Member, MFA

Recent Publications and Speaking Engagements

· Co-author, "Dodd-Frank Necessitates New Legal Documentation for Cleared and Uncleared Swaps," The Review of Securities and Commodities Regulation, Volume 44, Number 13 (July 13, 2011)

· Co-author, "Exchange-Traded Funds," The Review of Securities and Commodities Regulation, Volume 42, Number 13 (July 15, 2009)

· Author, "Financial Institution Insurance Activities-A New 2001 Odyssey Begins," Business Lawyer, Volume 57, Number 3 (May 2002)

· Author, "Financial Institution Insurance Activities-Gramm-Leach-Bliley One Year Later," Business Lawyer, Volume 56, Number 3 (May 2001)

· Co-author, "Banks and Insurance Companies-Together in the New Millennium," Business Lawyer, Volume 55, Number 3 (May 2000)

· Author, "Financial Institution Insurance Activities-Courts and Regulators Continue to Dominate Congress," Business Lawyer, Volume 54, Number 3 (May 1999)

· Co-author, "Functional Regulation of Bank Sales of Insurance-A Complicated Matrix is Developing with Potential Pitfalls," Business Lawyer, Volume 53, Number 3 (May 1998)

· Author, "Bank Sales of Annuities and Insurance Products," The Review of Banking & Financial Services, Volume 13, Number 3 (June 18, 1997)

· Author, "Financial Institutions and Insurance in 1996: Three Strikes, You're Out?" Business Lawyer, Volume 52, Number 3 (May 1997)

· Co-author, "Financial Institutions and Insurance in 1995: State Insurance Regulators Assert Authority Over Banks," Business Lawyer, Volume 51, Number 3 (May 1996)

· Co-author, "Financial Institutions and Insurance in 1994: VALIC becomes NationsBank," Business Lawyer, Volume 50, Number 3 (May 1995)

· Co-author, "Financial Institutions and Insurance in 1993: The Climate Becomes Uncertain," Business Lawyer, Volume 49, Number 3 (May 1994)

· Co-author, "Financial Institutions and Insurance in 1992: A Year of Retrenchment," Business Lawyer, Volume 49, Number 3 (May 1993)

· Panelist, "Dodd-Frank Implementation," 2011 ACLI Annual Conference (Octorber 17, 2011)

· Speaker, "The Dodd-Frank Act: The Devil's in the Definitions," Argus U.S. Oil Market Regulation (September 27, 2011)

· Speaker, "The Dodd-Frank Bill: What Happened?" American College of Investment Counsel 2010 Annual Meeting & Education Conference (Octorber 21-22, 2010)

· Speaker, "Impact of Title VII of Dodd-Frank on Insurance Companies and Their Affiliates," Sutherland Hartford Life Webinar, Washington (September 2010)

· Speaker, "Impact of Financial Regulatory Reform on the Insurance Industry: The Dodd-Frank Bill Arrives," LIMRA's Broker-Dealer CEO and Strategic Issues Study Group (July 27-28, 2010)

· Presenter, "Central Clearing of Interest Rate Swaps" (June 15, 2010)

· Speaker, "Derivatives for Dummies: A Primer on OTC Co-Products," Corporation, Finance and Securities Section, Derivatives, Securitization and Project Finance Standing Committee, District of Columbia Bar, (November 9, 2009)

· Speaker, "Proposed Regulation for the OTC Derivatives Market," National Rural Electric Cooperatives Association's (NRECA) 2009 G&T Legal Seminar (November 5-6, 2009)

· Speaker, Hedge Fund Roundtable (September 29, 2009)

· Speaker, The Federal Regulation of Insurance (June 25, 2009)

· Speaker, "How Regulatory Requirements Impact the Competitive Balance Between Conventional ETFs and New Types of Commodities-Based ETFs," Investment Company Institute (ICI) General Membership Meeting (May 6-8, 2009)

· Speaker, Sutherland Securities Symposium (April 21, 2009)

· Presenter, "OTC Credit Risk in the Post-Bear Stearns World" (February 3, 2009)

· Speaker, 2008 Investment Advisors' Exchange Traded Funds Summit (June 23-24, 2008)

· Speaker, The Bond Buyer's 8th Southeast Public Finance Conference (February 28, 2006)

· Speaker, Understanding the New ISDA Documentation Conference (June 10, 2004)

· Speaker, 2nd Annual National Institute on Back to the Fundamentals (February 17-19, 2003)

· Speaker, ALI-ABA Financial Services Modernization 2003 (February 6-7, 2003)

Industries

Financial Services

Retirement Products and Services

News

Sutherland Adds Two Energy/Derivatives Partners in Washington, D.C. Bringing Together Leading Advisors in Post-Dodd-Frank Commodities and Derivatives Regulation
January 23, 2012

Sutherland Partnership Makes Leadership Changes
May 9, 2011

Legal Alerts

Legal Alert: Regulatory Watch List for 2012: The Shifting Landscape for Hedge Funds and Other Private Funds
February 8, 2012

Legal Alert: CFTC Holds First Open Meeting of 2012 and Finalizes Key Rulemakings Under the Dodd-Frank Act
January 13, 2012

Legal Alert: CFTC Extends Effective Date for Swap Regulation and Finalizes Certain Swap Data Recordkeeping and Reporting Requirements
December 22, 2011

Legal Alert: CFTC Attempts to Strike Balance Between Protection of Customer Funds and Flexibility for FCMs and DCOs Investing Customer Funds
December 13, 2011

Legal Alert: ISDA and SIFMA Attack Position Limits in First Challenge to CFTC Rulemaking Under the Dodd-Frank Act
December 7, 2011

Legal Alert: MF Global Update: MF Global Proceedings Test Multiple Insolvency Statutes
November 15, 2011

Legal Alert: CFTC Proposes to Extend July 14 Temporary Exemptive Relief Order
October 28, 2011

Legal Alert: FSOC Proposal Further Clarifies Which Nonbank Financial Companies Could Be Designated "Systemically Important Financial Institutions"
October 17, 2011

CFTC Proposes Rules To Phase In Compliance with Dodd-Frank's New Derivatives Requirements and Releases Tentative Rulemaking Schedule
September 19, 2011

Legal Alert: Regulators Consider Whether Stable Value Contracts Should Be Subject to Regulation as Swaps under the Dodd-Frank Act and Solicit Public Comment
August 30, 2011

Legal Alert: CFTC To Subject Agricultural Swaps to the Same Regulatory Regime as Other Swaps, Creates a Whistleblower Program and Sets Rules and Registration Requirements for Swap Data Repositories
August 15, 2011

Legal Alert: Assignment of the Times: New Tax Rules Respond to Concerns Regarding Assignment of Derivative Contracts Required by Dodd-Frank
July 25, 2011

Legal Alert: CFTC Issues Final Order to Provide Temporary Relief from Provisions of the Dodd-Frank Act Slated to Become Effective on July 16, 2011 and Releases Agenda for Upcoming Meetings
July 15, 2011

Legal Alert: SEC Proposes Business Conduct Standards for Security-Based Swap Dealers and Major Security-Based Swap Participants
June 30, 2011

Legal Alert: Prudential Regulators Extend Public Comment Deadline for Capital and Margin Proposed Rules
June 23, 2011

Legal Alert: CFTC Proposes Temporary Relief from Certain Provisions of the Dodd-Frank Act Slated to Become Effective on July 16, 2011
June 14, 2011

Legal Alert: FSOC Proposed Rulemaking on Fed Supervision of Nonbank Financial Companies: Congress Questions Transparency
May 23, 2011

Legal Alert: CFTC Extends Most, But Not All, Proposed Rule Comment Periods; Lawmakers Propose Extension of Title VII's Deadline
May 6, 2011

Legal Alert: U.S. Treasury Secretary Proposes to Exempt FX Swaps and FX Forwards from Dodd-Frank's "Swap" Definition
April 29, 2011

Legal Alert: CFTC Proposes Key Rulemakings that Complete the "Mosaic" of Proposed Rules to Implement Title VII of the Dodd-Frank Act
April 28, 2011

Legal Alert: CFTC and SEC Seek Public Input on the Timetable for Effective Dates of Final Rules to Implement Title VII of the Dodd-Frank Act
April 15, 2011

Legal Alert: Proposed Margin Requirements for Uncleared Swaps Could Significantly Increase the Costs Associated with Over-the-Counter Swap Transactions and May Apply to Some End-Users
April 13, 2011

Legal Alert: Impending Federal Government Shutdown: Steps to Take Now at SEC
April 7, 2011

Legal Alert: Chairman Gensler Outlines Timeline for Finalizing and Implementing the Commodity Futures Trading Commission's Dodd-Frank Rulemakings
March 18, 2011

Legal Alert: Comments Sought on Proposed Interpretive Order on Disruptive Practices Due May 17
March 18, 2011

Legal Alert: FSOC Proposed Rulemaking on Fed Supervision of Nonbank Financial Companies: Critics Submit Comments and Ask Who is Speaking on Behalf of the Insurance Industry
March 7, 2011

Legal Alert: The Financial Stability Oversight Council Takes Action: New Insight into Determination of Which Insurers May Be Subject to Enhanced Oversight
February 18, 2011

Legal Alert: U.S. District Court Affirms Lehman Ruling Raising Concern on Cross-Affiliate Netting
February 16, 2011

Legal Alert: New Lehman Plan Portends Coming Battle for Holders of Derivatives-Based Claims
February 14, 2011

Legal Alert: CFTC Proposes Rules to Continue to Allow Agricultural Swaps and Commodity Options and to Supplement Previously Proposed Swap Documentation Requirements
January 21, 2011

Legal Alert: CFTC Issues Two Additional Proposed Rules Under the Dodd-Frank Act at Its First Open Meeting of 2011
January 14, 2011

Legal Alert: Dodd-Frank Act Rulemakings-End-User Update
January 7, 2011

Legal Alert: CFTC Issues Sixth Series of Proposed Rules Under Dodd-Frank Including Rules to Further Define Swap Entities
December 2, 2010

Legal Alert: Secretary of the Treasury Seeks Input on Whether Foreign Exchange Swaps and Foreign Exchange Forwards Should Be Regulated as Swaps Under Dodd-Frank
October 29, 2010

Legal Alert: CFTC to Create a Position Reporting System for Certain Physical Commodity Swaps
October 21, 2010

Legal Alert: CFTC Solicits Comments on How the Trading of Agricultural Swaps Should Be Governed
October 20, 2010

Legal Alert: The Financial Stability Oversight Council Holds Inaugural Meeting; Proposed Rulemakings on Nonbank Financial Companies and the Volcker Rule Will Impact Insurers
October 13, 2010

Legal Alert: CFTC Issues Interim Final Rule With Respect to Reporting Requirements for Pre-Enactment Swaps
October 5, 2010

Legal Alert: Dodd-Frank Act Creates Significant Changes in Bankruptcy Law Affecting Derivatives and Other Trading Counterparties
September 22, 2010

Legal Alert: SEC and CFTC Request Comments on Significant Defined Terms in Title VII of Dodd-Frank
September 14, 2010

Legal Alert: ISDA Protocol Addresses New Withholding Rules for Dividend Equivalent Payments
September 1, 2010

Legal Alert: CFTC and SEC Accepting Comments on Dodd-Frank Rulemaking
August 19, 2010

Legal Alert: The Dodd-Frank Act: A New Era of Financial Regulation and the Implications for the Insurance Industry
August 3, 2010

Legal Alert: Financial Reform Legislation Amends Section 1256 of the Internal Revenue Code to Provide Greater Certainty with Respect to the Tax Treatment of Swaps, Caps, Floors, and Similar Agreement
July 21, 2010

Legal Alert: Final Version of Financial Regulatory Reform Bill Establishes New Landscape - Critical Details Left to Regulators
June 30, 2010

Legal Alert: Senate Financial Reform Bill Containing Approved Amendments Released; Members of Conference Committee Named
May 27, 2010

Legal Alert: Senate Passes Financial Regulatory Bill - Dramatic Changes to Derivatives Regulation a Certainty
May 24, 2010

Legal Alert: Pending Derivatives Legislation Would Create Legal Uncertainty for Existing Contracts-Particular Concerns for End-Users
May 14, 2010

Legal Alert: Compromise on Derivatives Bill Adds to Debate
April 29, 2010

Legal Alert: Derivatives Market Awaits Senate Agriculture Committee Bill After Dodd Bill Includes Few Changes
April 7, 2010

Legal Alert: SEC Staff Evaluating the Use of Derivatives by Funds
March 26, 2010

Legal Alert: House Holds Hearing on Insurance Holding Company Supervision
March 19, 2010

Legal Alert: The Dodd Bill Redux: The Senate Takes Aim at Financial Regulatory Reform
March 19, 2010

Legal Alert: New ISDA Papers on Collateral Practices
March 18, 2010

Legal Alert: Obama Administration Proposes Financial Crisis Responsibility Fee
January 15, 2010

Legal Alert: CFTC Proposes Position Limits for Major Energy Commodities
January 14, 2010

Legal Alert: Derivatives Legislation Update: House Passes Bill; Senate Bill a Work in Progress
January 7, 2010

Legal Alert: Proposed Federal Insurance Office Act of 2009 Moves Forward
December 4, 2009

Legal Alert: Lehman Bankruptcy Court Rules on Right to Withhold Payment Under ISDA Master Agreement
September 29, 2009

Legal Alert: Obama Administration Proposes OTC Derivatives Bill
August 14, 2009

Legal Alert: Impact of Financial Regulatory Reform on the Insurance Industry: Proposed Legislation to Implement the Regulatory Reform White Paper
August 5, 2009

Legal Alert: CDS Small Bang Protocol Opens for Adherence
July 15, 2009

Legal Alert: Obama Administration Supports More Regulation and Restructuring of OTC Derivatives Markets
June 24, 2009

Legal Alert: Financial Regulatory Reform - A New Foundation: Rebuilding Financial Supervision and Regulation
June 23, 2009

Legal Alert: Financial Regulatory Reform - A New Foundation: Building Financial Supervision and Regulation
June 19, 2009

Legal Alert: Lehman Brothers Seeks to Void Contractual Rights Allowing Derivatives Counterparties to Withhold Payment
June 5, 2009

Legal Alert: Lehman Files Motion to Establish a Bar Date for Chapter 11 Proceeding Including New Proof of Claim Requirements
May 29, 2009

Legal Alert: Recent Developments: The Federal Regulation of Insurance
May 19, 2009

Legal Alert: Obama Administration Releases Plan for Regulating Derivatives
May 14, 2009

Legal Alert: Authorizing the Regulation of Swaps Act
May 6, 2009

Legal Alert: National Insurance Consumer Protection Act and Prospects for Federal Regulation of Insurance
April 13, 2009

Legal Alert: Optional Federal Charter Bill Introduced in House
April 3, 2009

Legal Alert: Senate Banking Committee Hears Testimony on Insurance Regulation
March 18, 2009

Legal Alert: CDS Big Bang Protocol Opens for Adherence
March 16, 2009

Legal Alert: Federal Insurance Regulation: An Updated Scorecard
March 12, 2009

Legal Alert: ISDA Close-Out Amount Protocol
February 27, 2009

Legal Alert: A Scorecard on the Systemic Risk Regulator and Federal Insurance Regulation
February 9, 2009

Legal Alert: NAIC Executive Committee Rejects Emergency Action on Capital and Surplus Relief
January 30, 2009

Legal Alert: Insurance Industry Capital and Surplus Relief Proposal Gains New Life
January 28, 2009

Legal Alert: House Members Encourage the Creation of a National Insurance Office Within Treasury
January 26, 2009

Legal Alert: SEC Issues Temporary Exemption for CDS Central Counterparties
January 16, 2009

Legal Alert: Access to TARP Program and Fed Funding: Insurance Company Strategies and Implications
January 14, 2009

Legal Alert: Avoiding Documentation Disadvantages in OTC Derivatives Collateral Valuation Disputes
January 7, 2009

Legal Alert: Lehman Bankruptcy Developments That Affect Trading Counterparties
January 5, 2009

Legal Alert: FDIC and OCC Introduce Modified Application Processes Relating to Troubled Bank Acquisitions
December 10, 2008

Legal Alert: New York State Insurance Department Tables Plan to Regulate Credit Default Swaps
November 21, 2008

Legal Alert: President's Working Group Announces Initiatives to Strengthen OTC Derivatives Oversight and Infrastructure
November 19, 2008

Legal Alert: Recent Developments Relating to Insurance Company Participation in the Treasury's TARP Program
November 19, 2008

Legal Alert: Lehman Brothers Motion to Settle or Assign
November 18, 2008

Legal Alert: Counterparty Rights in the Lehman Brothers Bankruptcy
October 10, 2008

Legal Alert: House Financial Services Subcommittee Approves the Insurance Information Act of 2008 to Create an Office of Insurance Information
October 10, 2008

Legal Alert: Impact of the Emergency Economic Stabilization Act and Related Developments on Insurance Companies
October 7, 2008

Legal Alert: Moving Forward with the Bailout - The Emergency Economic Stabilization Act of 2008 Becomes Law
October 3, 2008

Legal Alert: SEC and FASB Provide Clarification on Fair Value Accounting Rules
October 2, 2008

Legal Alert: Progress on the "Bailout" Proposal - The Senate Passes an Expanded Emergency Economic Stabilization Act of 2008
October 2, 2008

Legal Alert: The Evolving "Bailout" Proposal - Emergency Economic Stabilization Act of 2008
September 29, 2008

Legal Alert: New York Moves to Place Covered Credit Default Swaps under State Insurance Regulation; SEC Asks Congress for Immediate Authority over Credit Default Swaps
September 24, 2008

Legal Alert: Lehman Brothers Bankruptcy-ISDA Issues
September 15, 2008

To Our Clients With Credit Default Swaps with Fannie Mae, Freddie Mac and Tembec
September 9, 2008

Legal Alert: The U.S. District Court for the Southern District of New York Rules on Williams Act Disclosures of Total Return Swap Positions
July 1, 2008

Legal Alert: Sutherland Forms Regulatory Reform Task Force
June 12, 2008

Legal Alert: New York Federal Reserve Bank Releases Guidelines for Foreign Exchange Trading Activities
May 23, 2008

Legal Alert: OTC Counterparty Credit Risk in the Post-Bear Stearns World
March 17, 2008

Legal Alert: Monoline Insurers: Confusion in the Credit Default Swap Market
February 25, 2008

Legal Alert: SEC Approves Amendments Simplifying Disclosure Obligations for a Larger Number of Smaller Public Companies
January 16, 2008

Legal Alert: SEC Amends Rules 144 and 145 to Provide Increased Liquidity to Restricted Securityholders
January 14, 2008

Legal Alert: SEC Affirms Interpretation of Shareholder Proposals Rule Relating to the Election of Directors
January 2, 2008

Legal Alert: CFTC Amends Commission Recordkeeping Rule with Goal of Improving Market Oversight
October 30, 2007

Legal Alert: Court Determines Commodity Supply Contract Is Not Swap Agreement Under Bankruptcy Code
August 14, 2007

Publications

Dodd-Frank Necessitates New Legal Documentation for Cleared and Uncleared Swaps
July 13, 2011 Reprinted with permission The Review of Securities & Commodities Regulation

Exchange-Traded Funds - Offering Transparency, Liquidity and Diversification in Turbulent Markets
July 15, 2009 Reprinted with permission The Review of Securities & Commodities Regulation

Financial Institution Insurance Activities - A New 2001 Odysssey Begins
May 2002 Business Lawyer, Volume 57, Number 3

Financial Institution Insurance Activities - Gramm-Leach-Bliley One Year Later
May 2001 Business Lawyer, Volume 56, Number 3

Banks and Insurance Companies - Together in the New Millennium
May 2000 Business Lawyer, Volume 55, Number 3

"Financial Institution Insurance Activities - Courts and Regulators Continue to Dominate Congress," Business Lawyer, May 1999, Volume 54, Number 3

Co-author, "Functional Regulation of Bank Sales of Insurance - A Complicated Matrix is Developing with Potential Pitfalls," Business Lawyer, May 1998, Volume 53, Number 3

"Bank Sales of Annuities and Insurance Products," The Review of Banking & Financial Services, June 18, 1997, Vol. 13, No. 12

"Financial Institutions and Insurance in 1996: Three Strikes, You're Out?" Business Lawyer, May 1997, Volume 52, Number 3

Co-author, "Financial Institutions and Insurance in 1995: State Insurance Regulators Assert Authority Over Banks," Business Lawyer, May 1996, Volume 51, Number 3

Co-author, "Financial Institutions and Insurance in 1994: VALIC becomes NationsBank," Business Lawyer, May 1995, Volume 50, Number 3

Co-author, "Financial Institutions and Insurance in 1993: The Climate Becomes Uncertain," Business Lawyer, May 1994, Volume 49, Number 3

Co-author, "Financial Institutions in 1992: A Year of Retrenchment," Business Lawyer, May 1993, Volume 48, Number 3

Events

ACLI 2011 Annual Conference
October 16-18, 2011

2011 Argus U.S. Oil Market Regulation Summit
September 27, 2011

American College of Investment Counsel 2010 Annual Meeting & Education Conference
October 21-22, 2010

Impact of Title VII of Dodd-Frank on Insurance Companies and Their Affiliates
September 10, 2010

LIMRA's Broker-Dealer CEO and Strategic Issues Study Group
July 27-28, 2010

Central Clearing of Interest Rate Swaps
June 15, 2010

National Rural Electric Cooperatives Association's (NRECA) 2009 G&T Legal Seminar
November 5-6, 2009

Hedge Fund Roundtable
September 29, 2009

The Federal Regulation of Insurance
June 25, 2009

ICI General Membership Meeting
May 6-8, 2009

Sutherland Securities Symposium
April 21, 2009

OTC Credit Risk in the Post-Bear Stearns World
February 3, 2009

2008 Investment Advisors' Exchange Traded Funds Summit
June 23-24, 2008

The Bond Buyer's 8th Southeast Public Finance Conference
February 28, 2006

Understanding the New ISDA Documentation Conference
June 10, 2004

2nd Annual National Institute on Back to the Fundamentals
February 17-19, 2003

ALI-ABA Financial Services Modernization 2003
February 6-7, 2003

 
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Regulators Consider Whether Stable Value Contracts Should Be Subject to Regulation as Swaps under the Dodd-Frank Act and Solicit Public Comment
Frederick R. Bellamy,James M. Cain,Thomas A. Gick,Stephen E. Roth,Mark Smith, September 6, 2011
In addition to requiring the Commodity Futures Trading Commission (the CFTC) and the Securities and Exchange Commission (the SEC) to promulgate rules further defining the terms “swap” and “security-based swap” under the Dodd-Frank Wall Street Reform and Consumer Protection...


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Office Information

James M. Cain
Sutherland Asbill & Brennan LLP
1275 Pennsylvania Avenue, NW
Washington, DC 20004-2415




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