Morgan Lewis

Related Publications

05/07/12 How Managed Account Program Sponsors and Managers can Navigate the New ERISA Section 408(b)(2) Disclosure Requirements, presented for the Money Management Institute Webinar Series
(pdf)
04/26/12 Compliance & Enforcement in 2012: What are the Implications for the Advisory Solutions Industry?, presented at the MMI 2012 Annual Convention
(pdf)
04/23/12 Identifying and Adapting to Regulatory Change, presented at the ICMA 2012 Annual Conference
View all publications

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

206 Publications Found
Date Title Publication
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