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The Journal of Structured Finance

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Common Securities Law Questions in the Life Settlements and Life Insurance Premium Finance Industries

Brian T. Casey and Thomas D. Sherman
The Journal of Structured Finance Summer 2008, 14 (2) 64-69; DOI: https://doi.org/10.3905/jsf.2008.709960
Brian T. Casey
A partner at Locke Lord Bissell & Liddell LLP in Atlanta, GA.
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  • For correspondence: bcasey@lockelord.com
Thomas D. Sherman
A partner at Locke Lord Bissell & Liddell LLP in Atlanta, GA.
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  • For correspondence: tsherman@lockelord.com
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Abstract

This article examines three securities-related questions frequently encountered in the life settlements, or secondary life insurance, and the life insurance premium finance markets: 1) Life insurance policy put or call agreement: Is it a security? 2) A fund that owns life-settlement-acquired life insurance policies of life insurance premium finance loans: Is it an investment company? 3) Life insurance premium finance loan: Is it a security? The questions are analyzed only under the federal securities laws, but a similar analysis would obtain under most states' securities laws where they apply.

TOPICS: Legal and regulatory issues for structured finance, legal/regulatory/public policy

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The Journal of Structured Finance
Vol. 14, Issue 2
Summer 2008
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Common Securities Law Questions in the Life Settlements and Life Insurance Premium Finance Industries
Brian T. Casey, Thomas D. Sherman
The Journal of Structured Finance Jul 2008, 14 (2) 64-69; DOI: 10.3905/jsf.2008.709960

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Common Securities Law Questions in the Life Settlements and Life Insurance Premium Finance Industries
Brian T. Casey, Thomas D. Sherman
The Journal of Structured Finance Jul 2008, 14 (2) 64-69; DOI: 10.3905/jsf.2008.709960
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