Advise on RILA product development, related SEC registration issues and broker-dealer operations. Track and analyze federal and state rulemaking activities related to securities and standard of conduct matters.

Advise on all aspects of variable, fixed and indexed annuity operations. Specific matters include product development, preparing variable annuity registration statements, tracking regulatory rulemaking and advising on compliance matters and complaint handling.Provide counsel to registered investment company and investment adviser on legal and regulatory issues. Specific matters include mutual fund registration statement drafting and filing, new fund creation, shareholder meeting materials preparation and filing, investment adviser and sub-adviser compliance issues and board meeting material preparation.

Advise on a broad range of ’33, ’34, and ’40 Act issues associated with State Farm’s mutual fund, variable product, investment adviser, broker-dealer, and transfer agent operations. Specific matters include preparing investment company registration statements; drafting investment adviser and investment company codes of ethics; filing investment adviser and transfer agent registration statements; reviewing marketing and training material; advising on net capital and cash handling requirements; reviewing service provider agreements; evaluating securities legislation and preparing general board materials for the registered entities.

Led investigations and filed securities fraud charges against registered representatives and related entities. Investigations included reviewing supervisory procedures, internal controls, and net capital requirements; coordinating efforts with the U.S. Attorney's Office, Security Investor Protection Corporation, and FINRA.