Morgan Lewis

Related Publications

01/31/12 2011 Year in Review: Asset Management Roundtable
(pdf)
12/06/11 DOL Calls into Question Whether Boilerplate Indemnification Language in an IRA Brokerage Agreement Constitutes a Nonexempt Prohibited Transaction
10/19/11 New York GIPS Expert Series – CCO’s Survival Guide to GIPS Compliance, presented at the Harvard Club of New York
View all publications

Related Events

03/15/12-03/16/12 14th Annual IA Compliance Best Practices Summit 2012 Washington, DC
Steve Stone, speaker, "What A CCO Can Do to Reduce The Risk Of Insider Trading"; Donald Myers, speaker, "What New Department of Labor Rules Mean for ERISA Fiduciaries
View all events

Related News

08/08/11 Advisers' Little Secret: Their Past Results, The Wall Street Journal
Investment Management partner Steve Stone discusses how published performances are rare among advisers who work with individual investors.
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.
View all news
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Practice Areas

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  • District of Columbia
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Steven W. Stone

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Washington, D.C.
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5453
Fax: 202.739.3001

202 Publications Found
Date Title Publication
01/31/1201/31/12 2011 Year in Review: Asset Management Roundtable

pdf View Presentation
Speech
12/06/1112/06/11 DOL Calls into Question Whether Boilerplate Indemnification Language in an IRA Brokerage Agreement Constitutes a Nonexempt Prohibited Transaction

pdf View LawFlash
Employee Benefits and Investment Management LawFlash
10/19/1110/19/11 New York GIPS Expert Series – CCO’s Survival Guide to GIPS Compliance, presented at the Harvard Club of New York


 Speech
09/19/1109/19/11 Wrap Fee Programs, presented for an OCIE Training Session

pdf View Presentation
Speech
08/02/1108/02/11 SEC Adopts Large Trader Reporting System

pdf View LawFlash
Investment Management LawFlash
05/17/1105/17/11 The Evolving Role of the CCO in a New Era of Regulation, presented at NRS Education's 26th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference, Miami

pdf View Presentation
Speech
03/28/1103/28/11 SEC Staff Issues Guidance on “Pay-to-Play” Rule

pdf View LawFlash
Investment Management and Private Investment Funds LawFlash
03/17/11March 2011 Analysis of the SEC Staff’s Study: SEC Responds to Congress on a Uniform Fiduciary Standard for Investment Advisers and Broker-Dealers, Wall Street Lawyer

pdf View Article
Article
03/04/1103/04/11 The New Adviser Disclosure Framework presented at the ALI-ABA Investment Adviser Regulation Conference

pdf View Presentation
Speech
02/17/1102/17/11 How Will Regulatory Change Affect the Positioning of Managed Solutions? presented at the MMI 2011 Sales & Marketing Leadership Summit

pdf View Presentation
Speech
02/09/1102/09/11 How will Regulatory Change Affect the Positioning of Managed Solutions?, presented at the MMI ERISA Leadership Summit, Orlando, FL


 Speech
01/28/1101/28/11 Analysis of the SEC Staff’s Study on Investment Advisers and Broker-Dealers

pdf View LawFlash
Investment Management FYI
11/16/1011/16/10 Rule 206-4(2) Custody Webinar

pdf View Presentation
Speech
11/03/1011/03/10 Dual Registrant Issues, presented at the 2010 NSCP National Meeting

pdf View Presentation
pdf View Agenda
Speech
11/01/1011/01/10 New SEC Brochure Highlights Professional Designations (read the paper)


 White Paper
09/27/1009/27/10 Policy Considerations of Trade Errors, presented at the Ascendant Compliance Management Conference, Washington, D.C.

pdf View Presentation
09/01/1009/01/10 SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure

pdf View LawFlash
Investment Management FYI
07/09/1007/09/10 SEC Adopts Pay-to-Play Rule Under Investment Advisers Act

pdf View LawFlash
Investment Management and Private Investment Funds LawFlash
06/03/1006/03/10 Soft Dollar Arrangements: Commission Sharing vs. Traditional Soft Dollar Arrangements & Other Current Issues, presented at an Investment Adviser Association Webcast

pdf View Presentation
Speech
05/25/1005/25/10 What To Do When The SEC Examiner Calls, presented at an Investment News Webcast

pdf View Presentation
Speech
05/24/1005/24/10 Impact of Senate Financial Reform Bill on Retail Brokerage and Private Client Services

pdf View LawFlash
Financial Regulatory Reform LawFlash
05/20/1005/20/10 Regulatory Change for Our Managed Solutions Sector, presented at Money Management Institute 2010 Annual Convention, New York


 Speech
05/12/1005/12/10 Commissions Management: The Consortium, presented at the TraderForum 2010 Annual Conference, Chicago


 Speech
05/07/1005/07/10 Mutual Funds, Broker Dealers, and Investment Advisers: Risks and Approaches to a Changing Market Place, presented at the 42nd Annual Rocky Mountain Securities Conference, Denver, CO


 Speech
04/29/1004/29/10 SEC’s Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers

pdf View LawFlash
Investment Management FYI
04/22/1004/22/10 Preparing for Regulatory Change in Private Client Services, presented at the SIFMA Private Client Conference, New York

pdf View Presentation
Speech
03/30/1003/30/10 Understanding the New Requirements Affecting RIAs, presented at a Rule 206-4(2) Custody Webinar

pdf View Presentation
Speech
03/14/1003/14/10 The Changing Landscape for Trading and Market Structure, presented at 2010 Mutual Funds and Investment Management Conference, Phoenix, AZ

pdf View Presentation
Speech
03/10/1003/10/10 Critical Elements of Commission Sharing Arrangements & Soft Dollars, presented at the Ascendant Investment Adviser Compliance Conference, Santa Monica, CA

pdf View Presentation
Speech
03/10/1003/10/10 Insider Trading: Creating a Safe Environment (SEC Top Risk), presented at the Ascendant Investment Adviser Compliance Conference, Santa Monica, CA

pdf View Presentation
Speech
02/25/1002/25/10 Current Soft Dollar Issues, presented at the IAA/ACA Investment Adviser Compliance Forum, Arlington, VA

pdf View Presentation
Speech
01/07/1001/07/10 Social Networking in the Securities Context, presented as an ALI-ABA Webinar


 Speech
10/19/0910/19/09 Looking Forward to 2010: Hot SEC Topics for Advisers, presented at the TD Ameritrade Institutional 2009 Fall Regional Conference, New York

pdf View Presentation
Speech
10/07/0910/07/09 Commission Sharing Agreements vs. Traditional Soft Dollar Agreements: What Has Changed?, presented at the NSCP National Membership Meeting, Workshop Session X(c)IA, Philadelphia

pdf View Presentation
pdf View Outline
Speech
09/23/0909/23/09 Preparing for an SEC Exam, presented at GIPS Standards Annual Conference 2009, Boston

pdf View Presentation
Speech
09/22/0909/22/09 Performance Advertising 101: Regulatory Do's and Don'ts, presented at GIPS Standards Annual Conference 2009, Boston

pdf View Presentation
Speech
09/21/0909/21/09 Investment Advisers: The Changing Regulatory Landscape, presented at an ALI-ABA Conference


 Speech
09/17/0909/17/09 Investment Advice Issues, presented at the SIFMA Annual Savings and Retirement Conference 2009, Washington, D.C.


 Speech
08/07/0908/07/09 Proposed Rule under Investment Advisers Act Would Limit “Pay to Play” Practices

pdf View LawFlash
Private Investment Funds LawFlash
07/17/0907/17/09 Legislation Proposed by U.S. Treasury Would Require Private Fund Advisers to Register with the SEC

pdf View LawFlash
Investment Management FYI
07/15/0907/15/09 Cross-Border Webinar for the Financial Services Sector

pdf View Presentation
Webinar
06/24/0906/24/09 Examination Protocols, presented at the SEC's International Institute for the Regulation and Inspection of Investment Advisers, Washington, D.C.


 Speech
06/22/09June 2009 The Madoff “Opportunity”: Harmonizing the Overarching Standard of Care for Financial Professionals Who Give Investment Advice, Wall Street Lawyer, Vol. 13, Issue 6

pdf View Article
Article
05/21/0905/21/09 An Update on Regulatory Issues, presented at the 7th Annual PMAR Conference, Philadelphia


 Speech
05/15/0905/15/09 SEC Proposes Strengthening of Advisers Act Custody Rule

pdf View LawFlash
Investment Management FYI
05/14/0905/14/09 Washington Update, presented at the Trader Forum 2009 Annual Conference, Orlando, FL


 Speech
04/27/0904/27/09 SEC Inspection Priorities for Investment Advisers and Mutual Funds in the Wake of the Market Crisis, presented at the 2009 NRS Annual Spring Compliance Conference, Orlando, FL

pdf View Presentation
Speech
03/05/0903/05/09 FINRA Proposes Significant Changes to Forms U4 and U5

pdf View LawFlash
Investment Management FYI
02/24/0902/24/09 SEC Requires Interactive Data Disclosure for Funds’ Risk/Return Summaries

pdf View LawFlash
Investment Management FYI
02/18/09February 2009 Model, Hypothetical, and Backtested Performance—Best Practices, Investment Performance Measurement Newsletter (click here to read the article)


 Article
01/15/0901/15/09 Wrap Fee Programs and Separately Managed Accounts, presented at ALI-ABA's Investment Adviser Regulation Conference, New York

pdf View Presentation
01/12/09January 2009 Regulatory and Operational Considerations for U.S. Advisers Investing Abroad, IAA Newsletter: Compliance Corner

pdf View Article
Article
12/18/0812/18/08 SEC Staff Permit More Flexibility in the Use of Past Specific Recommendations

pdf View LawFlash
Investment Management FYI
11/11/0811/11/08 SEC Adopts Interim Reporting Requirement for Short Sales

pdf View LawFlash
Investment Management LawFlash
10/21/0810/21/08 Amendments to Part 2 of Form ADV, presented at the NSCP National Membership Meeting, Philadelphia


 Speech
10/17/0810/17/08 SEC Adopts Interim Reporting Requirement for Short Sales

pdf View LawFlash
Investment Management LawFlash
10/16/0810/16/08 SEC Adopts Interim Close-Out Requirements for Short Sales

pdf View LawFlash
Investment Management LawFlash
10/03/08November 2008 SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule, Derivatives Financial Products Report

pdf View Article
Article
09/25/0809/25/08 SEC Staff Provides Guidance on Short Sale Emergency Orders: Supplement to FYIs of September 21 and 22, 2008

pdf View LawFlash
Securities Industry FYI
09/22/0809/22/08 UPDATED as of 12:00 p.m. - SEC Emergency Orders: Implications for Buyside and Sellside Firms

pdf View LawFlash
Securities Industry FYI
09/21/0809/21/08 SEC Emergency Orders: Implications for Buyside and Sellside Firms

pdf View LawFlash
Securities Industry FYI
08/13/0808/13/08 SEC Proposes Guidance for Investment Company Boards of Directors on Adviser Trading Practices

pdf View LawFlash
Investment Management FYI
07/30/0807/30/08 SEC and DOL Agree to Cooperate in Examinations

pdf View LawFlash
Investment Management FYI
07/22/0807/22/08 SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule

pdf View LawFlash
Investment Management FYI
06/30/0806/30/08 SEC Proposes Major Revisions to Rule 15a-6

pdf View LawFlash
Securities Industry FYI
06/25/0806/25/08 National Financial Risk and Regulatory Client Webinar: Proposed Regulation S-P Amendments

pdf View Presentation
Webinar
05/16/0805/16/08 FINRA Issues Proposals on Rulebook Consolidation

pdf View LawFlash
Securities Industry FYI
04/10/0804/10/08 Trading Conflicts of Interests, presented at the IMS National Conference: The Next Step in Compliance - The Integration of Operations & Business Management, New Orleans, LA

pdf View Current Best Execution Presentation
pdf View Trading Conflicts of Interest Presentation
Speech
04/09/0804/09/08 The Globalization of Compliance: Special Program for Global Money Managers, presented at the IMS National Conference: The Next Step in Compliance - The Integration of Operations & Business Management, New Orleans, LA

pdf View Global SMAs Presentation
pdf View MiFID Presentation
Speech
03/07/0803/07/08 SEC Finally Publishes Proposed Amendments to Part 2 of Form ADV

pdf View LawFlash
Investment Management FYI
02/14/0802/14/08 SEC Votes to Propose Amendments to Part 2 of Form ADV (Finally)

pdf View LawFlash
Investment Management FYI
12/06/0712/06/07 Trading and Market Structure Issues, presented at ICI's 2007 Securities Law Developments Conference, Washington, D.C.


 Speech
10/17/0710/17/07 Conflicts of Interest (Large Firms), presented at the 2007 NSCP National Membership Meeting, Washington, D.C.

pdf View Speech
Speech
10/12/0710/12/07 Compliance Issues Impacting Institutional Investors, presented at the 2007 Equity, Fixed Income, and Derivatives Markets Conference, New York

pdf View Speech
Speech
10/03/0710/03/07 SMAs: Wrapping Up Compliance Issues, presented at 2007 Institutional Investor's Legal Forum Global Roundtable, San Francisco

pdf View Speech
Speech
10/02/0710/02/07 The Globalization of Compliance - Test Case: Global SMAs, presented at the IMS National Compliance Conference, Napa, CA

pdf View Speech
Speech
06/07/0706/07/07 Current Best Execution, Trading, and Investment Opportunity Issues, presented at the Money Management Institute's Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance

pdf View Presentation
Speech
06/07/0706/07/07 International Issues, presented at the Money Management Institute's Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance

pdf View Presentation
Speech
05/23/0705/23/07 How Investment Firms Manage and Disclose Conflicts: What Do Regulators Expect?, presented at the Alliance Bernstein Subadvisory Compliance Conference, New York

pdf View Presentation
Speech
05/17/0705/17/07 Wrap/SMA Accounts: New Developments and Compliance Issues, presented to the Investment Adviser Association, Washington, D.C.

pdf View Presentation
Speech
04/17/0704/17/07 Portfolio Trading and Best Execution, presented at the NRS 22nd Annual Spring Compliance Conference, Orlando, FL

pdf View Presentation
Speech
03/27/0703/27/07 Investment Adviser Rules – From the Broker-Dealer’s Perspective, presented to SIFMA-CL

pdf View Presentation
Speech
03/25/0703/25/07 Investment Adviser Issues for Broker-Dealers, presented at the SIFMA Compliance & Legal Division's Annual Seminar 2007, Phoenix

pdf View Presentation
Speech
03/23/0703/23/07 Best Execution and Trading Issues, presented at the 9th Annual IA Compliance Best Practices Summit 2007, Washington, D.C.


 Speech
03/20/0703/20/07 Administration Best Practices: Implementing and Maintaining Effective Soft Dollar Program, presented at IIR's 14th Annual Soft Dollar Practices Forum, New York

pdf View Presentation
Speech
03/19/0703/19/07 Disclosure Issues in Connection with Side Pockets and Side Letters, presented at West Legalworks New Frontier in Hedge Fund Due Diligence, New York


 Speech
03/19/0703/19/07 Due Diligence Concerns with Side Letters, presented at the New Frontiers in Hedge Fund Due Diligence Conference, New York

pdf View Presentation
Speech
03/07/0703/07/07 Understanding the Impacts of Public Policy, presented at the 2007 SEI Executive Conference, Orlando, FL


 Speech
01/30/0701/30/07 Best Execution and Brokerage Practices, presented at the 7th Annual IA Compliance Forum, New York


 Speech
01/17/0701/17/07 A Plan for an Annual Compliance Review & Keeping Ahead of the Regs, presented at the FRA's 2nd Annual Best Practices for Conducting the Required Annual Compliance Review for Investment Advisors, New York


 Speech
12/14/0612/14/06 Understanding Mutual Fees


 Webinar
12/05/0612/05/06 Emerging Issues with Model Based Programs, presented at the Legal/Regulatory Affairs Conference for General Counsels and Chief Compliance Officers, Washington, D.C.

pdf View Presentation
Speech
11/09/0611/09/06 Evaluating and Improving Annual Reviews, presented at NRS' Protecting Your Firm from SEC Scrutiny, Greenwich, CT

pdf View Presentation
Speech
11/01/06November 2006 Responding to Data Breaches in the Securities and Investment Management Industry, Wall Street Lawyer, Vol. 10 No. 11

pdf View Article
Article
10/24/0610/24/06 New Rules of the Road for Brokers Offering Investment Advice, presented at the FRA's Dual Registrant Symposium, New York


 Speech
10/19/0610/19/06 Supervision of Trading Desk Activities, presented at the 2006 NSCP National Membership Meeting, Washington D.C.

pdf View Presentation
Speech
10/16/0610/16/06 Supervisory Control Procedures: The Compliance Deadline Was Only the Beginning, presented at the Broker Dealer Week's Annual Fall Compliance Conference, Washington, D.C.


 Speech
10/04/0610/04/06 Examination Crisis Management: What to Do When There Are Problems, presented at the NRS Fall 2006 Compliance Conference, Scottsdale, AZ

pdf View Presentation
Speech
10/01/06October 2006 A New Era in Soft Dollar Commission Arrangements: SEC Issues Revised Interpretation of Section 28(e), Wall Street Lawyer, Vol. 10 No. 10

pdf View Article
Article
09/26/0609/26/06 Regulatory Focus: Issues Unique to the SMA Bank Channel, American Banker & Money Management Institute, presented at the 4th Annual Separately Managed Accounts Conference

pdf View Presentation
Speech
09/21/0609/21/06 How Firms Are Adapting to the Rule and a Look Towards the Future, presented at the SIA Fee Based Accounts Forum, New York

pdf View Presentation
Speech
09/06/0609/06/06 New SEC Soft Dollar Interpretation (Schwab Institutional Webcast)

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

pdf View Article
Article
06/19/0606/19/06 Investment Adviser Advertising, presented at the Delaware Investments Training Session, Philadelphia

pdf View Presentation
Speech
06/06/0606/06/06 Current Best Execution, Trading and Investment Opportunity Issues, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance, Washington, D.C.

pdf View Presentation
Speech
06/06/0606/06/06 Discussion of MMI Legal/Regulatory Affairs Initiatives, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance, Washington, D.C.

pdf View Presentation
Speech
06/06/0606/06/06 New Investment Adviser Rules, BISA's Legislative, presented at the Regulatory & Compliance Conference, Washington, D.C.

pdf View Presentation
Speech
06/06/0606/06/06 Suitability, Individualization and Rule 3a-4 Issues, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance, Washington, D.C.

pdf View Presentation
Speech
05/01/06May 2006 Regulatory and Operational Issues for US Advisers Investing Overseas, The Investment Lawyer

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Article
04/26/0604/26/06 Routine SEC Exam Preparation Guidelines, presented at the Investment Management Legal and Compliance Biannual Conference, New York

pdf View Presentation
Speech
04/01/06April 2006 New Rules of the Road for Brokers Offering Investment Advice, Wall Street Lawyer: Securities in the Electronic Age, Vol. 10, No. 4

pdf View Article
Article
03/08/0603/08/06 The Regulatory Landscape, presented at the Outsourcing in Financial Services Conference, New York

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Speech
01/26/0601/26/06 International SMA Developments - A Legal & Regulatory Framework, presented at the MMI 2006 Sales & Marketing Leadership Summit

pdf View Presentation
Speech
01/23/0601/23/06 Best Execution and Brokerage Practices, presented at the Investment Adviser Compliance Forum

pdf View Presentation
Speech
01/23/0601/23/06 Soft Dollars Never Die: Current Perspectives for 2006, presented at the Investment Adviser Compliance Forum

pdf View Presentation
Speech
01/01/0601/01/06 Unbundling’s Doorstep: How Did We Finally Get Here?

pdf View Presentation
Speech
12/06/0512/06/05 Best Execution, Trading and Investment Opportunity Issues, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance

pdf View Presentation
Speech
12/06/0512/06/05 New Developments in SMAs and Their Regulatory Dimensions, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance

pdf View Presentation
Speech
12/06/0512/06/05 Suitability, Individualization and Rule 3a-4 Issues, presented to the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance

pdf View Presentation
Speech
11/10/0511/10/05 Adviser Code of Ethics, presented at the CFA Institute/IAA Hedge Fund Compliance Conference

pdf View Presentation
Speech
10/26/0510/26/05 Investment Adviser Advertising, presented at the Investment Adviser Association's Compliance Workshop

pdf View Presentation
Speech
10/26/0510/26/05 Role of Advisers in Client Class-Action Claims, presented at the Investment Adviser Association's Compliance Workshop

pdf View Presentation
Speech
10/26/0510/26/05 Soft Dollar Developments, presented at the Investment Adviser Association's Compliance Workshop

pdf View Presentation
Speech
10/25/0510/25/05 Investment Adviser Conflicts of Interest, presented at the NSCP National Membership Meeting, Alexandria, VA

pdf View Presentation
Speech
10/18/0510/18/05 Coping with the New SEC Rules Extending Adviser Registration to Brokers Providing Advice, presented at the NRS 20th Annual Fall Compliance Conference, Miami Beach, FL

pdf View Presentation
Speech
10/01/05October 2005 The Role of Investment Advisers in Client Class Action Claims, The Investment Lawyer

pdf View Article
Article
08/01/0508/01/05 The Role of Investment Advisers in Client Class Action Claims, Investment Adviser Association Newsletter

pdf View Article
Article
06/14/0506/14/05 Annual Compliance Review, presented at the National Regulatory Services Compliance Program Rule Conference '05, Arlington, VA


 Speech
06/07/0506/07/05 Follow the Money: Increased Scrutiny of Fee and Compensation Arrangements, 3rd Annual BISA Legislative, Regulatory and Compliance Conference

pdf View Presentation
Speech
06/02/0506/02/05 SEC Exams of Separately Managed Accounts, presented at the Money Management Institute

pdf View Presentation
Speech
05/17/0505/17/05 Best Execution, Brokerage Practices & Changes to Soft Dollar Requirements, presented at the Investment Advisor Compliance Forum

pdf View Presentation
Speech
04/06/0504/06/05 Investment Advisors II, presented at the SIA Compliance & Legal Division Seminar 2005, Palm Desert, CA

pdf View Presentation
Speech
01/12/0501/12/05 Achieving Best Execution - A Practical Guide, presented at Financial Markets World Best Execution Conference

pdf View Presentation
Speech
12/29/0412/29/04 Adviser Code of Ethics

pdf View Presentation
Speech
12/12/0412/12/04 Adviser Code of Ethics

pdf View Presentation
Webinar
11/29/0411/29/04 Responding to Coming Rule Changes on Soft Dollars


 Speech
10/21/0410/21/04 Designing Disclosures and Procedures to Address Conflicts of Interest, presented at the NRS 19th Annual Fall Compliance Conference

pdf View Presentation
Speech
10/21/0410/21/04 Establishing Broker-Dealer and Rep Compensation Arrangements, presented at the NRS 19th Annual Fall Compliance Conference

pdf View Presentation
Speech
09/01/0409/01/04 Regulation & Its Effects on Our Business, presented at the Morgan Stanley Institutional Equity U.S. Head Trader Forum

pdf View Presentation
Speech
06/10/0406/10/04 Impact of Multiple Types of Fees and Services for Brokerage Services, presented at the BISA Regulatory & Compliance Conference

pdf View Presentation
Speech
05/11/0405/11/04 Best Execution & Brokerage Practices: Soft Dollars, Directed Brokerage, presented at the Investment Adviser Compliance Forum

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Speech
04/19/0404/19/04 Conflicts of Interest Facing Investment Advisers, presented at the NRS 19th Annual Spring Compliance Conference

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Speech
03/30/0403/30/04 Bridging the Gap Between IT & Compliance

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Speech
03/16/0403/16/04 Multi-Style Portfolios, presented at the 6th Annual ICAA/IA Week Best Practices Summit

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Speech
02/07/0402/07/04 Managing A Regulatory Crisis, presented at NRS Advanced Compliance Training, Washington, D.C.


 Speech
10/29/0310/29/03 Advanced Compliance Concepts for Investment Advisers, presented at the NSCP National Membership Meeting

pdf View Presentation
Speech
10/29/0310/29/03 Current Issues with Wrap Accounts, presented at the NSCP National Membership Meeting

pdf View Presentation
Speech
10/23/0310/23/03 Regulation & its Effects on Our Business, presented at the Morgan Stanley Institutional Equity U.S. Head Trader Forum

pdf View Presentation
Speech
10/10/0310/10/03 Mutual Funds Update: Revenue Sharing and Internal Compensation Issues

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Speech
10/08/0310/08/03 Bank Affiliated Brokers—The Year Ahead

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Speech
09/10/0309/10/03 Advisory Referral Programs and Other Business Arrangements, presented at the NRS 18th Annual Fall Compliance Conference, Charleston, SC

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Speech
09/09/0309/09/03 How to Manage the SEC’s New Recordkeeping Rules

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Speech
07/22/0307/22/03 Structure Matters in Multi-Broker Soft Dollar and Commission Recapture Arrangements

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Speech
04/29/0304/29/03 Managing Conflicts, presented at the Fifth Annual IA Compliance Summit

pdf View Presentation
Speech
04/21/03March/April 2003 SEC Record Requirements For Advisors, Schwab Institutional Compliance Review

pdf View Article
Article
02/28/0302/28/03 Directed Brokerage & Soft Dollar Practices 2003: Understanding the Obligations of Brokers

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Speech
02/07/0302/07/03 Managing A Regulatory Crisis, presented at the NRS Advanced Compliance Training & Risk Management Techniques Conference, Washington, D.C.

pdf View Presentation
Speech
02/07/0302/07/03 Undertaking Risk Audits, presented at the NRS Advanced Compliance Training & Risk Management Techniques Conference, Washington, D.C.

pdf View Presentation
Speech
12/01/02December 2002 Deadline Looms as Questions Abound on New Broker-Dealer Recordkeeping Requirements, Wall Street Lawyer

pdf View Article
Article
11/20/0211/20/02 SEC Proposes Rules Addressing Circumstances When Banks Must Register As Brokers Or Dealers

pdf View LawFlash
Securities LawFlash
10/28/0210/28/02 Key Trading Issues Affecting Best Execution

pdf View Presentation
Speech
10/23/0210/23/02 SEC Regulation of Performance Advertising by Investment Advisers

pdf View Presentation
Speech
10/01/0210/01/02 Current Issues with Wrap Accounts, presented at the NSCP National Membership Meeting

pdf View Presentation
Speech
10/01/0210/01/02 Wrap Fee and Separately Managed Accounts

pdf View Presentation
Speech
09/11/0209/11/02 NASD Opens Door to Further Fairness Challenges, Complinet

pdf View Article
Article
08/01/02August 2002 Compliance Corner: Foreign Investing for U.S. Investment Advisers, ICAA Newsletter

pdf View Article
Article
06/01/02June 2002 Conducting Your Advisory Business on the Web: 10 Tips for Complying with SEC Requirements, Wall Street Lawyer, Vol. 6, No. 1

pdf View Article
Article
05/01/0205/01/02 Managing Conflicts, presented at the NSCP 2002 East Coast Regional Membership Meeting, Boston

pdf View Presentation
Speech
05/01/02May 2002 NASDR and NYSE Tackle Research Analyst Practices... But Are Their New Rules Workable? Wall Street Lawyer, Vol. 5, No. 12

pdf View Article
Article
05/01/02May/June 2002 SEC Provides Flexibility Within Safe Harbor for Soft Dollars, NSCP Currents

pdf View Article
Article
05/01/0205/01/02 Trading Practices and Compliance, presented at the Compliance Forum for Registered Investment Advisers and Hedge Fund Managers

pdf View Presentation
Speech
03/01/02March/April 2002 New SEC Guidance on Soft Dollars and Riskless Principal Trades, NSCP Currents

pdf View Article
Article
02/26/0202/26/02 Broker-Dealer AML Guidance Comes Together, Complinet


 Article
02/26/0202/26/02 Understanding the Obligations of Brokers, presented at the Institute for International Research's 9th Annual Forum on Directed Brokerage & Soft Dollar Practices, New York

pdf View Presentation
Speech
02/01/02February 2002 Expanding Safe Harbors for Soft Dollars, Wall Street Lawyer, Vol. 5, No. 9

pdf View Article
Article
11/09/0111/09/01 Overcoming Legal Challenges to eSignatures, Advanced E-Signature Solutions


 Speech
11/07/0111/07/01 Analysis of SEC's New Changes to Broker Books and Records Rules, Complinet


 Article
10/18/0110/18/01 The Search for Best Execution in Today's Market Environment, presented at the NSCP 2001 National Membership Meeting, Washington, D.C.

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Speech
09/01/01September 2001 What to do About Portals?, wallstreetlawyer.com


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07/24/0107/24/01 Understanding the Obligations of Brokers, presented at the Institute for International Research's Directed Brokerage & Soft Dollar Practices Forum, New York

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Speech
06/19/0106/19/01 Marketing Investment Advisory Services Through Third Parties, presented to National Regulatory Services, Puerto Rico

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Speech
06/18/0106/18/01 Marketing and Referral Arrangements From the Investment Adviser's Perspective

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Speech
11/14/0011/14/00 Advertising Online Investing: What is Permissible Now?, presented at the American Conference Institute's 4th National Conference on Securities Trading on the Internet, New York


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10/31/0010/31/00 Soft Dollar Arrangements: The Broker-Dealer's Responsibility for Compliance, presented to the International Communications for Management Group's 4th Annual Prime Brokerage Conference, New York


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04/19/0004/19/00 Proposed SEC Rule 202(a)(11)-1: Certain Broker-Dealers Deemed Not to be Investment Advisers, presented at the National Regulatory Services Spring 2000 Investment Advisor and Broker-Dealer Compliance Conference, Washington, D.C.


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04/16/0004/16/00 Complex Issues Facing the Dual Registrant, presented at the NRS Sprint 2000 Compliance Conference, Miami

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Speech
02/20/0002/20/00 The Impact of the New SEC Electronic Media Release on Investment Advisers, ICAA Newsletter

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Article
07/01/9907/01/99 Intentionally "Defective" Grantor Trusts, presented to the Tax Study Group, Montgomery/Prince George's County, MD


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01/26/9901/26/99 Broker-Sponsored Online Chat Rooms: Concerns and Best Practices, presented at the American Conference Institute, Conference on Securities Trading on the Internet, New York

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Speech
12/01/98December 1998 Responsibilities of Advisers in Class Actions, ICAA Newsletter

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Article
10/14/9810/14/98 Employee Trading - Implementing and Testing Company Policy, presented at the NRS West Coast Conference, Napa Valley, CA

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Speech
07/23/9707/23/97 The Regulation of Trading Errors Under the Investment Advisers Act of 1940 Anti-Fraud Provisions -- A Primer on Fiduciary Principles, presented at the Institute for International Research Investment Adviser Compliance Forum, New York


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06/18/9706/18/97 SEC Regulation of Investment Adviser Advertising, presented at the Institute for International Research's 9th Annual Conference on Performance Measurement, New York


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06/01/97June 1997 SEC Finalizes Rules Splitting Regulatory Turf Over Investment Advisors, Compliance Review


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05/23/9705/23/97 Basic Principles in Developing Compliance and Supervisory Procedures for Investment Advisers, presented at the National Regulatory Service, Inc. Conference: 'Basic Training for IA Compliance Professionals,' New York


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03/01/97March 1997 Marketing and Referral Arrangements from the Investment Advisor's Perspective - Part 2, Compliance Review, Vol. 6, Issue 3


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02/01/97February 1997 Marketing And Referral Arrangements From the Investment Advisor's Perspective - Part 1, Compliance Review, Vol. 6, Issue 2


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12/12/9612/12/96 Disclosure of Mutual Fund Brokerage/Service Expense Offset and Soft Dollar Arrangements, presented at the Soft Dollar and Brokerage Conference, New York


 Speech
04/24/9604/24/96 Marketing and Referral Arrangements From the Investment Adviser's Perspective, presented at the National Regulatory Services, Inc. Annual Compliance Conference for Investment Advisers and Broker-Dealers, Orlando


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02/09/9602/09/96 Developing Written Compliance and Supervisory Procedures for Investment Advisers, presented at the National Regulatory Services, Inc., Compliance Basic Training for Investment Advisers Conference, New York


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02/09/9602/09/96 State Regulatory Issues Affecting Investment Advisers, presented at the National Regulatory Services, Inc., Compliance Basic Training for Investment Advisers Conference, New York


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10/03/9510/03/95 SEC Regulation of Performance Advertising By Investment Advisers, presented at the National Regulatory Services, Inc., 'Compliance Basic Training for Investment Advisers,' New York


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