- Financial Services
- Insurance Products
- Insurance Regulatory and Compliance
- Securities Enforcement & Litigation
- Mutual Funds
- Investment Adviser
- Retirement Products & Services
- Privacy & Data Security
|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 Chambers USA: Guide to Leading Business Lawyers in the areas of insurance regulation and investment funds (2008-2014)
Named to The Best Lawyers in America in the area of mutual funds law (2005-2015)
Honorable Jesse E. Eschbach, U.S. District Court - Northern District of Indiana.
Documents by this lawyer on Martindale.com
California Joins Maryland and Ohio in Addressing “Price Optimization”
Thomas W. Curvin,John S. Pruitt,Stephen E. Roth,Cynthia R. Shoss,Phillip E. Stano, February 24, 2015
The California Insurance Commissioner issued a notice on February 18, 2015 to more than 750 property and casualty insurers doing business in California, announcing that “any use of Price Optimization in the ratemaking/pricing process or in a rating plan is unfairly discriminatory in violation...
SEC Releases Results of 2014 Cybersecurity Exam Sweep
Clifford E. Kirsch,Michael B. Koffler,Susan S. Krawczyk,Stephen E. Roth,Mary Jane Wilson-Bilik, February 13, 2015
On February 3, the Securities and Exchange Commission (SEC) issued a Risk Alert prepared by its Office of Compliance Inspections and Examinations (OCIE) that summarizes the results of a sweep of more than 100 broker-dealers and investment advisers that OCIE undertook in 2014 in order to assess the...
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