Pam Ellis, a member of Sutherland's Financial Services Practice Group, concentrates her practice on the federal registration and regulation of investment-oriented insurance products. She assists insurance companies and other financial services clients with the design and implementation of a variety of U.S. Securities and Exchange Commission (SEC) registered and unregistered investment products. Pam counsels SEC reporting companies regarding their registration, compliance, reporting and disclosure requirements under federal securities laws. She also represents financial institutions sponsoring "529 Plans" as well as other service providers focused on that sector.
Pam previously spent six years on staff of the SEC. She was an attorney adviser and then Senior Counsel in the Office of Public Utility Regulation, where she was involved in extensive projects relating to both domestic and international utility mergers and acquisitions. Pam then joined the SEC's Office of Insurance Products as Senior Counsel, working on projects affecting variable insurance product issuers.
Industries
Financial Services
Legal Alerts
Legal Alert: The Dodd-Frank Act: A New Era of Financial Regulation and the Implications for the Insurance Industry
August 3, 2010
Legal Alert: Securities and Exchange Commission Consents to Delay of Indexed Annuity Rule Effective Date
December 9, 2009
Legal Alert: Court Rules on the SEC's Indexed Annuity Rule
July 22, 2009
Legal Alert: Court Hears Arguments in Case Challenging the SEC's Indexed Annuity Rule
May 13, 2009