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
Photo of Steven W. Stone

Practice Areas

Bar Admissions

  • District of Columbia
View Printable List

Steven W. Stone

V-Card
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
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