Thomas C. Lauerman
Partner

Washington, D.C.

Email: tcl@jordenusa.com
Phone: 202-965-8156
Fax: 202-965-8104

Thomas C. Lauerman specializes in securities law matters involving mutual funds, variable annuities, and variable life insurance. He counsels clients on disclosure and regulatory issues, and guides clients through planning and implementing strategies to achieve SEC compliance for new or innovative financial products.

Mr. Lauerman frequently consults and negotiates with the SEC staff on behalf of clients and handles SEC no-action requests, registration statements, exemptive applications, and other filings. He also negotiates and structures contracts and other documentation in connection with securities offerings.

Mr. Lauerman's extensive expertise in securities law matters includes IPO's, private placements, mergers, tender offers, proxy statements, corporate SEC reporting, managing corporate law aspects of securities transactions, and counseling mutual funds and their directors and trustees.

Mr. Lauerman served on the staff of the SEC division that regulates mutual funds and life insurance company investment products. In that capacity, he was one of a small team of attorneys responsible for a congressionally mandated three volume SEC study and report on the securities activities of commercial banks. He also was the author of a major SEC rule proposal dealing with "soft dollar" brokerage practices.

Representative Matters

• Numerous recent SEC filings to offer innovative "living benefit riders" under variable annuity contracts.
• Several recent complex and unusual projects involving a parent company's guarantee of all securities issued by a subsidiary insurance company in order to relieve the subsidiary company of reporting obligations under the Securities exchange Act of 1934.
• Several recent mutual fund mergers.
• Several recent SEC registrations of variable life insurance products based on 2001 CSO tables to replace earlier versions of policies based on 1980 tables.

Speeches and Publications

• Author: "Deadline Approaches Under New SEC Rule 22c-2" (Annuity Market News, August 2008)
• Author: "New SEC Requirements Should Prompt Insurer Talks with Underlying Funds" (National Underwriter Life and Health, July 2006)
• Speaker and Author: "SEC Impact on the Design of Multi-Life Products" (Conference on Product Development, Marketing and Administration Strategies for Multi-Life Insurance, Sponsored by the Insurance Division of the Institute for International Research, 1993).
• Author: "Agencies Eye Investment Company Hedging Strategies" (Legal Times, May 1984).