FacultyFaculty/Author Profile

W Thomas Conner

Reed Smith LLP

Washington, DC, USA


Tom is a member of Reed Smith's Financial Industry Group. The focus of Tom's practice is on the representation of financial services companies including mutual funds, exchange-traded funds (including ETFs that invest in commodities), insurance companies issuing fixed and variable annuities and life insurance, and financial firms offering a wide range of other types of financial products. His practice combines regulatory experience with an extensive knowledge of the mutual fund, ETF, commodity pool, variable contract and investment advisory industries.

Tom assists clients in navigating the complex regulatory requirements governing insurance and securities products, including the federal securities laws administered by the U.S. Securities and Exchange Commission (SEC) and the Commodity Futures Trading Commission (CFTC), the rules of the Financial Industry Regulatory Authority (FINRA) and the National Futures

Tom has represented financial service companies in a private practice for over fifteen years. Additionally, Tom was Vice President and General Counsel of the Insured Retirement Institute (IRI) (formerly, the National Association for Variable Annuities (NAVA)). He was responsible for IRI's regulatory affairs program and represented the industry in a number of significant regulatory matters, appearing before regulatory agencies including the SEC, FINRA and National Association of Insurance Commissioners.

In addition to private practice and serving as IRI's General Counsel, Tom was a staff member of the SEC in the Office of Disclosure and Investment Adviser Regulation and the Office of Insurance Products.

Practice Areas
Financial Industry Group Investment Management Alternative Investments
Derivatives & Structured Products
Money Market Fund Compliance & Resources

Education
George Washington University Law School, J.D.
George Washington University, MBA

Professional Admissions / Qualifications
District of Columbia Massachusetts

Employment  History
2012 - Partner - Reed Smith
2011 - Partner - Sutherland Asbill & Brennan LLP
1998 - Vice President and General Counsel, Insured Retirement Institute (formerly, the National Association for Variable Annuities)
1994 - Associate - Sutherland Asbill & Brennan LLP
1991 - Attorney - Adviser, Office of Disclosure and Investment Adviser Regulation U.S. Securities and Exchange Commission
1989 -Associate - Goodwin Procter LLP

Experience
Provide ongoing regulatory advice, under federal securities and commodities laws, to Teucrium Trading, a sponsor of commodity-related exchange traded funds (ETFs).

Advised client, sponsor of commodity-related exchange traded funds (ETFs), on all aspects of fund formation and registration, as well as for ongoing maintenance and regulatory compliance issues, as such funds are regulated by the SEC, CFTC, NFA and FINRA.

Represent major commodities-based ETF provider with structuring and SEC/CFTC/FINRA/NYSE registration and compliance procedure preparation.


W Thomas Conner is associated with the following items:
Live Seminar  Live Seminar Understanding Financial Products 2018, Wednesday, January 24, 2018, New York, NY
Live Webcast  Live Webcast Understanding Financial Products 2018, Wednesday, January 24, 2018, New York, NY
PLI Grpcast-Live Web  PLI Grpcast-Live Web Understanding Financial Products 2018, Wednesday, January 24, 2018, Atlanta, GA
Understanding Financial Products 2018, Wednesday, January 24, 2018, Cleveland, OH
Understanding Financial Products 2018, Wednesday, January 24, 2018, New Brunswick , NJ
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