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Securities Products of Insurance Companies in the Course of Regulatory Reform 2015

 
Author(s): Joan E. Boros, Jeffrey S. Puretz
Practice Area: Corporate & Securities, Insurance
Published: Jan 2015
PLI Item #: 58730
CHB Spine #: A979

Joan E. Boros, Esq. is in Stradley Ronon Stevens & Young, LLP’s Washington, D.C., office.  Her securities, corporate and insurance law experience includes all aspects of the design; organization; qualification; State and Federal registration; regulation and compliance of retail investment companies; variable insurance products; and related entities, such as investment advisers and broker-dealers.  Her focus is currently on the ongoing Dodd-Frank legislation's changes with regard to regulation of entities, securities offerings, advisory and distribution issues.  She has chaired this PLI seminar, "Understanding the Securities Products of Insurance Companies," for 20 years.  She was a co-founder of the National Association for Fixed Annuities (NAFA).  She currently serves on the Board of the Retirement Income Industry Association (RIIA), and on the Governance Board of its Retirement Management Analyst (RMAsm) advanced training for advisers program.


Jeffrey Puretz is a practice group leader in Dechert's financial services group who has more than 30 years of experience. He concentrates on investment management matters for mutual funds, mutual fund boards, investment advisers, and insurance companies, and he is responsible for the group's services in the insurance sector. Prior to joining Dechert, Mr. Puretz worked as a staff attorney with the Division of Investment Management of the Securities and Exchange Commission (SEC).

Mr. Puretz has been included in The Best Lawyers in America in the specialty of mutual funds law since 2007. He has also been designated as one of a handful of leading lawyers for investment management since 2004 by Chambers USA, a referral guide to leading lawyers in the United States. He has lectured and written extensively about mutual funds and variable annuities. He has been widely quoted in the financial press, and his work has been cited by the SEC.

Professional and Other Activities

  • Co-founder and co-chair of the Practising Law Institute conference on "Understanding Securities Products of Insurance Companies," which began in 1995
  • Member, Consulting Board, Board IQ
  • Member, Advisory Board, Mutual Fund Directors Forum
  • Member, Regulatory Affairs Committee, Insured Retirement Institute
  • Adjunct Professor, Catholic University Law School, Securities Program
  • Member, Board of Trustees, Hebrew Home of Greater Washington