W. Thomas Conner is a Shareholder in the Investment Services group in the New York office of Vedder Price.
Mr. Conner’s practice concentrates on the representation of financial services companies including mutual funds, exchange-traded funds and insurance companies issuing fixed and variable annuity and life insurance products. He specializes in navigating the complex regulatory requirements governing insurance and securities products including the federal securities laws administered by the SEC and the Commodity Futures Trading Commission (CFTC), and the rules of the Financial Industry Regulatory Authority (FINRA) and the National Futures Association (NFA), as well as state insurance laws and regulations.
Prior to joining Vedder Price, Mr. Conner was a partner at both Reed Smith and Eversheds Sutherland. Prior to that, he was Vice President and General Counsel of the Insured Retirement Institute (IRI), where he was responsible for IRI's regulatory affairs program and represented the industry in many significant regulatory matters before the SEC, FINRA, and National Association of Insurance Commissioners (NAIC). Tom also was a staff member of the SEC in the Office of Disclosure and Investment Adviser Regulation and the Office of Insurance Products.
Mr. Conner has represented financial services companies, including mutual funds, exchange traded funds (ETFs), insurance companies issuing fixed and variable annuities, commodity pools and commodity pool operators and other types of financial services firms for over 25 years.
Mr. Conner focuses on providing practical and goal oriented advice. He enjoys working with clients to help them understand the application of financial services law and rules of regulatory agencies. He 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. Mr. Conner offers client-focused solutions derived from his perspective gained from law firm, regulatory agency and in-house experience.