Morgan Lewis

Related Publications

03/18/12 Ethical Considerations for the Compliance Department Lawyer, presented at the 2012 SIFMA Compliance & Legal Society Annual Seminar, Miami
(pdf)
03/18/12 Examinations from the Regulators’ Perspective, presented at the 2012 SIFMA Compliance & Legal Society Annual Seminar, Miami
(pdf)
03/06/12 Compliance Department Responsibilities, Arbitration Trends and Current FINRA Examination Issues, presented at the FINRA New York Regional Office Training Session, New York
View all publications

Related News

01/01/10 Law360 Names Morgan Lewis as a Top Securities Defense Firm for 2009
Law360 selected Morgan Lewis as one of five top securities defense firms of the year, citing the firm's capacity for combining counseling and transactional securities law with dispute litigation and enforcement.
06/29/09 Q&A With Morgan Lewis' Ben Indek, Law360
Ben Indek is interviewed, discussing the past, present, and future of his practice and securities law.
12/24/08 SEC Chief Defends His Restraint, Washington Post
Ben Indek comments on the SEC's actions against broker-dealers over the 2007 and 2008 fiscal years.
View all news
Photo of Ben A. Indek

Practice Areas

Bar Admissions

  • New York
View Printable List

Ben A. Indek

V-Card
New York
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6109
Fax: 212.309.6001

131 Publications Found
Date Title Publication
10/06/0910/06/09 Dealing with Regulatory Enforcement, presented at the NSCP National Membership Meeting, Philadelphia

pdf View Presentation
Speech
07/31/09July 2009 2009 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

pdf View White Paper
White Paper
03/30/0903/30/09 Supervisory Responsibilities, presented at the NSCP East Coast Regional Conference, Boston

pdf View Presentation
Speech
03/23/0903/23/09 Regulatory Securities Examinations and Inquiries: The Firm’s Perspective, presented at the SIFMA Compliance and Legal Division 2009 Annual Seminar, Phoenix, AZ

pdf View Presentation
Speech
03/18/0903/18/09 Back to Basics: FINRA Issues 2009 Examination Priorities

pdf View LawFlash
Securities Industry FYI
03/05/0903/05/09 FINRA Proposes Significant Changes to Forms U4 and U5

pdf View LawFlash
Investment Management FYI
02/05/0902/05/09 2008 SEC and SRO Enforcement Year in Review, Complinet

pdf View Article
Article
01/21/09January 2009 2008 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

pdf View White Paper
White Paper
11/11/0811/11/08 Retail Brokerage and Advisory Issues, presented at the SIFMA Compliance and Legal Division 2008 Fall Compliance Seminar, New York

pdf View Presentation
Speech
11/06/0811/06/08 Tracker Impact Analysis: SEC Fines LPL Financial Corporation for Regulation S-P Violations, Complinet

pdf View Article
Article
10/21/0810/21/08 The Regulatory Enforcement Process, presented at the 2008 NSCP National Membership Meeting, Philadelphia

pdf View Presentation
Speech
10/15/0810/15/08 SEC Lifts the Veil on Its Enforcement Process by Publishing Enforcement Manual

pdf View LawFlash
Securities LawFlash
09/24/0809/24/08 Supervision Challenges in a Changing Electronic World, presented at the SIFMA Electronic Communications and Records Forum, New York

pdf View Presentation
Speech
08/15/08August 2008 U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments

pdf View White Paper
White Paper
06/10/0806/10/08 Conducting Internal Investigations, presented at the FINRA Institute at Wharton, New York

pdf View Presentation
Speech
05/08/0805/08/08 Emerging Regulatory Trends Facing Member Firms and Hedge Funds, presented at the NYSE Regulation-Division of Enforcement and Risk Group Offsite Conference, New York


 Speech
05/06/0805/06/08 SEC Fires Another Warning Shot Over Insider Trading Policies and Procedures

pdf View LawFlash
Securities LawFlash
04/18/0804/18/08 Conducting Internal Investigations, presented at FINRA Class Room Learning: Compliance Essentials, New York


 Speech
04/02/0804/02/08 Electronic Communications, presented at the SIFMA C&L Annual Seminar, Orlando, FL

pdf View Presentation
Speech
02/01/08January/February 2008 2007 Year In Review: SEC and SRO Enforcement Cases and Developments Regarding Broker-Dealers, NSCP Currents

pdf View Article
Article
01/18/08January 2008 2007 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

pdf View White Paper
White Paper
11/13/0711/13/07 The Examination Process from the Regulators' Perspective, presented at the SIFMA-CL Fall "New SRO FINRA" Compliance Seminar, New York

pdf View Speech
Speech
10/17/0710/17/07 Ethics for Compliance Officers, presented at the 2007 NSCP National Membership Meeting, Washington, D.C.

pdf View Speech
Speech
09/20/0709/20/07 Meeting the Supervisory Challenge, presented at Complinet's New York Summit, New York

pdf View Speech
Speech
07/01/07Summer 2007 U.S. SEC, NASD, and NYSE Regulation: Selected Enforcement Cases and Developments in the First Half of 2007 Regarding Broker-Dealers

pdf View White Paper
White Paper