Jason Berkowitz

WORK HISTORY

EDUCATION

SKILLS

ABOUT JASON BERKOWITZ

With more than 10 years of experience representing and advising financial services firms and public companies on matters relating to the regulation of securities, annuities, insurance and retirement products and services, I have developed a strong analytical ability to understand my clients’ needs and goals, and to formulate and implement effective strategies to achieve their business objectives.In addition to my technical experience as a practitioner, I have spent several years as a government affairs professional for a diverse financial services enterprise. In this capacity, I was extensively involved with a number of critical legislative and regulatory initiatives affecting the financial services / wealth management industry. Through this uncommon combination of experiences, I have developed a unique skillset and perspective that enables me to deliver an unparalleled level of service to help my clients achieve their business objectives.Areas of Expertise• Securities (8+ yrs) – Federal Securities Laws (’33,’34 Act and ’40 Acts, Sarbanes-Oxley Act, Dodd-Frank Act); SEC and FINRA Regulations; State Blue Sky Laws and Rules• Annuities and Insurance (5+ yrs) – NAIC Models; State Laws and Regulations• Retirement Plan Products and Services (5+ yrs) – ERISA and DOL Regulations; Tax Qualification Requirements under Internal Revenue Code and Treasury Department Regulations • Corporate Law (5+ yrs) – Mergers & Acquisitions, Joint Ventures and other Corporate Transactions; Corporate GovernanceAdmitted to Practice in Connecticut and New York