Steve Saxon will serve as a speaker at PLI’s program, “Securities Products of Insurance Companies in the Face of Regulatory Reform 2010,” on January 29, 2010 in New York, NY.  His panel, “Pension and Tax Developments,” will focus on new disclosure standards, legislative reform, stable value funds, qualified default investment alternatives, and legislative changes in product taxation.  Please find an overview of the program below.

Why You Should Attend

The insurance industry has been one of the focal points of economic analysis over the last year, as well as the subject of several initiatives for regulatory change.  This timely program provides critical content to the prevailing and changing legal issues practitioners must understand. As the regulatory regimes that govern securities products and asset management services offered by insurance company complexes undergo significant changes, the regulatory requirements have expanded.   The stellar faculty will provide you with a clear understanding of the important developments in this evolving and dynamic field of law.

What You Will Learn

The latest on recent regulatory developments as outlined by an Associate Director and an Assistant Director of the SEC’s Division of Investment Management.

  • The fundamentals of variable insurance products
  • The latest developments in mutual funds and pension products
  • The SEC’s assertion of jurisdiction over indexed products
  • How to use the SEC’s new summary prospectus
  • Insights into the genesis of the SEC’s latest rule proposals under the 1940 Act
  • About the SEC’s and other Federal agencies’ expanding jurisdiction over insurance products and insurance companies
  • Specialized funding vehicles: Synthetic annuities, target date funds and more
  • Updates on critical issues facing the insurance market
  • How DOL and Congress are trying to protect retirement plan participants
  • What the states are doing to police insurance agents
  • Hear the latest on the SEC agenda
  • Explore ethical issues applicable to broker-dealers and investment advisers and suitability versus fiduciary standards

More information is available at


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