- Financial Services
- Insurance Products
- Insurance Regulatory and Compliance
- Securities Enforcement & Litigation
- Mutual Funds
- Investment Adviser
- Retirement Products & Services
- Cybersecurity & Privacy
|Contact Info||Telephone: 202.383.0158|
|University ||University of Notre Dame, A.B., summa cum laude Phi Beta Kappa|
|Law School||Yale Law School, J.D. Editor, Yale Law Journal|
|Admitted||1978, District of Columbia|
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
|Born||Madison, 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.
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.
Documents by this lawyer on Martindale.com
Price Optimization: 2015 Year in Review and a Look Ahead
Eric A. Arnold,Thomas W. Curvin,John S. Pruitt,Stephen E. Roth,Phillip E. Stano, January 20, 2016
2015 saw approximately one-third of U.S. states1 join the first state, Maryland, in issuing guidance to property and casualty insurers with respect to price optimization; action by the National Association of Insurance Commissioners (NAIC) in approving a white paper on price optimization; and...
NAIC Adopts Roadmap for Cybersecurity Consumer Protections
Mark D. Herlach,Michael R. Nelson,John S. Pruitt,Stephen E. Roth,Cynthia R. Shoss, December 22, 2015
Except for a new name and new introduction, the Cybersecurity Roadmap is identical to the Cybersecurity Bill of Rights that was adopted by the NAIC Cybersecurity Task Force in October. The Bill of Rights was adopted over objections from industry groups that the document was confusing and...
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 Handbookżs already existing cybersecurity guidance....
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