Morgan Lewis on Securities
Winter 2004

In this Issue:

• Focus on Enforcement and Litigation:
• SEC Expedites Proceedings in a Year of Change
• Ensuring Communications on Product Development Are Not Misleading to Investors
• Focus on Broker-Dealers:
• Senior Financial Regulators Address Cutting-Edge Issues for Banks and Broker-Dealer Affiliates
• Focus on Investment Managers:
• SEC Hedge Fund Report: The Press for Greater Regulation
• Employment Law Sidebar:
• Marsh v. Prudential: Deferred Compensation Plans and Forfeiture of Earned Wages upon Termination

For the full story, please view the PDF.