Stephen E. Roth: Lawyer with Sutherland Asbill & Brennan LLP

Stephen E. Roth

Steve Roth
Washington,  DC  U.S.A.

Peer Rating
AV® Preeminent

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Practice Areas

  • Financial Services
  • Insurance Products
  • Insurance Regulatory and Compliance
  • Securities Enforcement & Litigation
  • Mutual Funds
  • Broker-Dealer
  • Investment Adviser
  • Retirement Products & Services
  • Insurance
  • Cybersecurity & Privacy
Contact InfoTelephone: 202.383.0158
Fax: 202-637-3593
University University of Notre Dame, A.B., summa cum laude Phi Beta Kappa
Law SchoolYale Law School, J.D. Editor, Yale Law Journal
Admitted1978, District of Columbia

Professional Activities
Member, Board of Governors, Association of Life Insurance Counsel (ALIC)
Co-chair, ALI-CLE Conference on Life Insurance Company Products (1999-Present)
Member, ABA Subcommittee on Securities Activities of Insurance Companies

BornMadison, Wisconsin, September 25, 1951

The leader of Sutherland's Financial Services Practice Group, Steve Roth ensures that financial services clients are operating within the complex and ever-changing regulatory guidelines that shape today's market. Steve advises life insurance companies on the development, marketing and ongoing compliance related to new insurance and annuity products, including registration of variable and fixed life and annuity contracts with the U.S. Securities and Exchange Commission (SEC).

With more than 35 years of experience, Steve has not only seen significant changes in the financial services market, but he also has played a key role in shaping the regulatory landscape to accommodate those changes. He participates in the development and regulation of pooled investment vehicles, including mutual funds, other regulated investment companies and private funds, including serving as counsel to funds and fund trustees. Investment advisers and broker-dealers also seek his counsel on regulatory and compliance issues.

Selected Experience

Sutherland counsels life insurance companies on the redesign of registered separate account products.

Sutherland counsels a coalition of major life insurance companies on evolving state and federal regulations and other legal developments.

Sutherland advises on formation and day to day operations of new mutual fund.

Awards and Rankings

Recognized by The Legal 500 United States in the area of financial services: regulatory (2015); and insurance: non-contentious (2015)

Recognized by Chambers USA: Guide to Leading Business Lawyers in the areas of insurance regulation and investment funds (2008-2015)

Named to The Best Lawyers in America in the area of mutual funds law (2005-2016)


Honorable Jesse E. Eschbach, U.S. District Court - Northern District of Indiana.


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NAIC Adopts New Cybersecurity Exam Tool
Mark D. Herlach,John S. Pruitt,Stephen E. Roth,Brian L. Rubin,Cynthia R. Shoss, September 24, 2015
On September 21, the National Association of Insurance Commissioners (the NAIC) IT Examination Working Group (the Working Group) adopted amendments to the IT section of the Financial Condition Examiners Handbook (the Handbook) to strengthen the Handbook¿s already existing cybersecurity guidance....

NAIC Cybersecurity Forum Focuses on Escalating Threats and Best Remediation Practices
Mark D. Herlach,John S. Pruitt,Stephen E. Roth,Brian L. Rubin,Cynthia R. Shoss, September 15, 2015
On September 10, the National Association of Insurance Commissioners (NAIC) co-sponsored a cybersecurity forum at the Center for Strategic and International Studies in Washington, DC. Featuring an impressive line-up of senior government officials and knowledgeable experts, the forum aimed to...

Update on NAIC and State Regulatory Activity on “Price Optimization”
Eric A. Arnold,Thomas W. Curvin,Stephen E. Roth,Cynthia R. Shoss,Phillip E. Stano, July 24, 2015
Regulatory activity on price optimization appears to be coming to a head. The National Association of Insurance Commissioners (NAIC) Casualty Actuarial and Statistical (C) Task Force is continuing to gather input, with all roads leading toward a significant discussion of the issue at the upcoming...

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Office Information

Stephen E. Roth

700 Sixth Street NW, Suite 700
WashingtonDC 20001-3980


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