| Date |
Title |
Publication |
| 05/16/1105/16/11 |
Current Product Development—Trends and Issues for Variable Annuities, presented at the 2011 ALIC Annual Meeting: Surviving and Thriving After Financial Reform, Tuscon, AZ
|
Speech |
| 08/07/0908/07/09 |
Proposed Rule under Investment Advisers Act Would Limit “Pay to Play” Practices
View LawFlash
|
Private Investment Funds LawFlash |
| 08/03/0908/03/09 |
The Fate of Fixed Indexed Annuities and Rule 151A
View LawFlash
|
Investment Management FYI |
| 06/17/0906/17/09 |
SEC Enforcement Action Provides Guidance on Portfolio Valuation and Disclosure
View LawFlash
|
Investment Management FYI |
| 05/26/09May 2009 |
Uncertainty Reigns: The Status of Indexed Universal Life Policies After Rule 151A, Investment Lawyer, Vol. 16, No. 5
View Article
|
Article |
| 05/04/0905/04/09 |
Rule 151A, presented at the Association of Life Insurance Counsel Annual Meeting, San Diego, CA
|
Speech |
| 04/02/0904/02/09 |
Treasury Extends Money Market Fund Guarantee
View LawFlash
|
Investment Management FYI |
| 03/20/0903/20/09 |
Securities and Exchange Commission Staff Confirms Ability of iShares ETFs to Use Affiliated Indices as Benchmarks
View LawFlash
|
Investment Management FYI |
| 02/10/0902/10/09 |
After Rule 151A, The Status Of Indexed UL Is Uncertain, National Underwriter (click here to read the article)
|
Article |
| 12/18/0812/18/08 |
SEC Adopts Rule That Would Require Equity Index Annuities to Be Registered Securities
View LawFlash
|
Investment Management FYI |
| 10/27/0810/27/08 |
Securities and Exchange Commission Staff Permit Exchange-Traded Funds to Track Their Indexes by Investing in Other Exchange-Traded Funds
View LawFlash
|
Investment Management FYI |
| 10/04/0810/04/08 |
Impact of the Emergency Economic Stabilization Act of 2008 on Investment Management Firms
View LawFlash
|
Investment Management FYI |
| 09/29/0809/29/08 |
Money Market Funds: Insurance, Liquidity, and Support
View LawFlash
|
Investment Management FYI |
| 07/01/0807/01/08 |
SEC Proposes Rule That Would Require Equity Index Annuities to Be Registered Securities
View LawFlash
|
Investment Management FYI |
| 07/01/06July/August 2006 |
Equity-Indexed Annuities: Are They Worth the Risk? NSCP Currents
View Article
|
Article |
| 03/01/06March 2006 |
Proxies on the Internet: A Harbinger for Investment Company Prospectuses and Reports? The Investment Lawyer, Vol. 13, No. 3
View Article
|
Article |
| 09/01/05September 2005 |
Equity Index Annuities Attract New Regulatory Attention, Wall Street Lawyer, Vol. 9, No. 4
|
Article |
| 05/27/05May 2005 |
Point of Sale and Confirmation Disclosure for Mutual Fund Transactions: Effective Disclosure or Information Overload? The Investment Lawyer
|
Article |
| 02/17/0502/17/05 |
Disclosure of Portfolio Manager Compensation: Who, What, Where, When & Why, presented at the Mutual Fund Directors Forum, Washington, D.C.
View Presentation
|
Speech |
| 07/01/02July 2002 |
To Boldly Go Where No Securities Offering Has Gone Before: Paperless, The Review of Securities & Commodities Regulation, Vol. 35, No. 13
|
Article |
| 06/01/02June 2002 |
Form N-6—Welcome News for Variable Life Issuers, The Investment Lawyer, Vol. 9, No. 6
View Article
|
Article |
| 06/01/02June 2002 |
Variable Life Registration Forms Get Much-Needed Facelift, Morgan Lewis on Securities
View Article
|
Article |
| 06/01/01June 2001 |
Substitution or Subterfuge: The SEC Struggles to Decide, Morgan Lewis on Securities
View Article
|
Article |