Morgan Lewis

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02/01/12 Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review
In 2011, the SEC and FINRA continued their vigorous enforcement of the securities laws, resulting in an increase in enforcement cases brought against broker-dealers, with a 60% increase in such SEC enforcement actions and a 13.5% increase in FINRA disciplinary actions since 2010.
01/31/12 2011 Year in Review: Asset Management Roundtable
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January 2012 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers
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Related News

12/05/05 Partner Anne C. Flannery Returns to Morgan Lewis
Anne C. Flannery, most recently First Vice President and General Counsel for Global Regulatory Affairs with Merrill Lynch, has returned as a partner in the firm’s New York office.
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Anne C. Flannery

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New York
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6370
Fax: 212.309.6001

54 Publications Found
Date Title Publication
10/17/0710/17/07 Protecting the Chief Compliance Officer From Regulatory and Civil Liability, presented at the 2007 NSCP National Membership Meeting, Washington, D.C.


 Speech
02/21/07February 2007 The Regulatory Examination Process

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White Paper
08/01/06August 2006 Anti-Money Laundering Compliance Programs: Time to Reevaluate Risks, The Investment Lawyer, Vol. 13, No. 8

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Article
06/20/0606/20/06 Managing Conflicts Within Financial Institutions, presented at the NYSE Regulation Second Annual Securities Conference, New York


 Speech
06/01/0606/01/06 Securities Arbitration & Mediation, presented at the City Bar Association Seminar, New York


 Speech
05/19/0605/19/06 Research Analyst Issues, presented at the NASD Spring Conference, Hollywood, FL


 Speech
05/11/0605/11/06 Managing Antitrust Matters in the Modern Corporate Governance Era, presented at the ABA Antitrust Section & City Bar Seminar, New York


 Speech
04/05/0604/05/06 Recent Developments in Securities Enforcement, presented at the New York County Lawyers Association Seminar, New York


 Speech
03/18/0603/18/06 Litigating with SROs, presented at the SIA Annual Compliance and Legal Division Conference, Hollywood, FL


 Speech
06/01/9906/01/99 Damage Control: Managing the Inevitable Corporate Crisis, presented at the Practising Law Institute Corporate Compliance 1999 Meeting, New York


 Speech
12/08/9812/08/98 Due Process: The SEC Confronts Regulation of a Global Financial Services Industry, presented a the IBC UK Conferences Limited, London


 Speech
12/01/98December 1998 Supervision of Remote Representatives, NSCP Currents


 Article
10/29/9810/29/98 Broker-Dealer Supervision of Remote Representatives, presented at the 1998 National NSCP Membership Meeting, Washington, D.C.


 Speech
06/01/9806/01/98 Selected Decisions Relating to Contested SEC and SRO Cases and Criminal Securities Prosecutions in 1997 and 1998, presented before the ABA-CLE 1st Annual National Institute on Securities Litigation and Arbitration, New York


 Speech
12/01/97December 1997 Protection of Internal Corporate Investigation Materials Under the Attorney-Client Privilege and Work Product Doctrine, The Metropolitan Corporate Counsel


 Article
11/08/9711/08/97 The Confusion Continues: Protection of Internal Corporate Investigation Materials Under the Attorney-Client Privilege and Work Product Doctrine, Revisited, presented at The 29th Annual Institute on Securities Regulation, Practising Law Institute, New York


 Speech
11/02/9611/02/96 Between a Rock and a Hard Place: Internal Corporate Investigations and the Attorney-Client Privilege, presented at the Practising Law Institute's 28th Annual Institute on Securities Regulation, New York


 Speech
11/01/96November 1996 Recent Decisions on the Attorney-Client Privilege and Their Impact on Internal Corporate Investigations, The Metropolitan Corporate Counsel


 Article
06/04/9606/04/96 Deciding Whether to Settle or Litigate With the Commission: A Survey of SEC Civil Enforcement Cases, presented at the American Conference Institute Fourth Annual Securities Litigation and Enforcement Conference, Miami


 Speech
01/13/9601/13/96 Arbitrations -- Has the Favored Child Become Spoiled? A Look at How Arbitration Has Fared In Resolving Securities and Employment Disputes, Attorney Interviews with Branch Office Manager and Account Executive: Assessing the Case and Development of a Strategic Plan for Defense, presented at the American Bar Association, Section of Litigation Annual Meeting, Miami


 Speech
12/01/95December 1995 Lawyers Beware: The SEC is Back and Looking for You, Metropolitan Corporate Counsel


 Article
05/19/9505/19/95 Recent Enforcement Developments: A Survey of the SEC's Application of Its Authority Under the 1990 Remedies Act, Parallel Proceedings and SEC Initiatives Against Investment Advisers, presented at the American Conference Institute, Securities Litigation & Enforcement, New York


 Speech
11/04/9411/04/94 Survey of Recent Enforcement Developments - Maximizing the Penalties for Violative Conduct, presented at the 26th Annual Institute on Securities Regulation, Practising Law Institute, New York


 Speech
10/01/9410/01/94 Parallel Proceedings: Responding Concurrently to the SEC, the SROs, the State and the Justice Department, presented at the Twenty-Second Annual Securities Regulation Institute, New York


 Speech
06/03/9406/03/94 Survey of Recent SRO Disciplinary Activity and Summary of the Forthcoming ABA Task Force Report on the SRO Disciplinary Process, presented at a Securities and Exchange Commission sponsored conference, Washington, D.C.


 Speech