Morgan Lewis

Related Publications

02/01/12 Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review
In 2011, the SEC and FINRA continued their vigorous enforcement of the securities laws, resulting in an increase in enforcement cases brought against broker-dealers, with a 60% increase in such SEC enforcement actions and a 13.5% increase in FINRA disciplinary actions since 2010.
01/31/12 2011 Year in Review: Asset Management Roundtable
(pdf)
January 2012 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers
View all publications

Related News

12/05/05 Partner Anne C. Flannery Returns to Morgan Lewis
Anne C. Flannery, most recently First Vice President and General Counsel for Global Regulatory Affairs with Merrill Lynch, has returned as a partner in the firm’s New York office.
View all news
Your message will be sent to: Anne C. Flannery