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Robert C. Mendelson

Email: rmendelson@morganlewis.com

New York
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6303
Fax: 212.309.6001

practice accolades

Investment Management

Ranked, Band 1: Financial Services Regulation: Broker-Dealer Regulation in Chambers USA (2011)

Ranked, Band 1: Investment Funds: Registered Funds in Chambers USA (2011)

Ranked, Band 1: Investment Fund Formation and Management: Mutual Funds in The U.S. Legal 500 (2011)

Ranked, National Tier 1: Securities/Capital Markets Law, U.S. News and Best Lawyers (2010)

Private Investment Funds

Ranked, National Tier 1: Private Funds/Hedge Funds Law, U.S. News and Best Lawyers (2010)

education

Boston College Law School, 1980, J.D.

Brandeis University, 1973, M.A.

Rice University, 1972, A.B.

Date	Title	Publication
11/01/1111/01/11	Implications of MF Global Inc. SIPC Proceeding for Counterparties and Market Participants View LawFlash	Investment Management and Restructuring LawFlash
08/02/1108/02/11	SEC Adopts Large Trader Reporting System View LawFlash	Investment Management LawFlash
12/02/1012/02/10	Working with Expert Consultants:Procedures for Controlling Material Non-Public Information (MNPI) View Presentation	Webinar
06/14/1006/14/10	Systemic Risk Regulation: The Missing Link? View LawFlash	Financial Regulatory Reform LawFlash
04/29/1004/29/10	SEC’s Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers View LawFlash	Investment Management FYI
08/10/0908/10/09	SEC Announces Actions on Short Sales View LawFlash	Securities Industry FYI
04/22/0904/22/09	Eleven Steps for Addressing Treasury Fail Penalties View LawFlash	Investment Management FYI
11/11/0811/11/08	SEC Adopts Interim Reporting Requirement for Short Sales View LawFlash	Investment Management LawFlash
10/17/0810/17/08	SEC Adopts Interim Reporting Requirement for Short Sales View LawFlash	Investment Management LawFlash
10/16/0810/16/08	SEC Adopts Interim Close-Out Requirements for Short Sales View LawFlash	Investment Management LawFlash
09/25/0809/25/08	SEC Staff Provides Guidance on Short Sale Emergency Orders: Supplement to FYIs of September 21 and 22, 2008 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 View LawFlash	Securities Industry FYI
09/21/0809/21/08	SEC Emergency Orders: Implications for Buyside and Sellside Firms View LawFlash	Securities Industry FYI
09/09/0809/09/08	Implications of U.S. Government’s Takeover of Fannie Mae and Freddie Mac View LawFlash	Investment Management FYI
07/17/0807/17/08	SEC Issues Emergency Order to Deter Uncovered Short Sales in Certain Financial Institutions View LawFlash	Securities Industry FYI
07/08/0807/08/08	FSA Proposes Extension of UK Major Shareholder Notification Requirements to Equity Contracts for Differences (Including Equity Swaps and Other Equity Derivatives) View LawFlash	Securities Industry FYI
06/30/0806/30/08	SEC Proposes Major Revisions to Rule 15a-6 View LawFlash	Securities Industry FYI
05/29/0805/29/08	CFTC Authority Extended over Retail Forex and Energy Trading View LawFlash	Investment Management FYI
05/16/0805/16/08	FINRA Issues Proposals on Rulebook Consolidation View LawFlash	Securities Industry FYI
11/13/0711/13/07	Fixed Income, presented at the SIFMA-CL Fall "New SRO FINRA" Compliance Seminar, New York	Speech
11/01/07November 2007	Statistical Screens for “Return Smoothing” by Hedge Funds: SEC & Investor Interest, Wall Street Lawyer, Vol. 11, No. 11 View Article	Article
03/25/0703/25/07	Compliance Directors/Chief Compliance Officers Roundtable-Global Firm Issues, presented at the SIFMA CL Annual Conference, Phoenix	Speech
05/01/02May 2002	NASDR and NYSE Tackle Research Analyst Practices... But Are Their New Rules Workable? Wall Street Lawyer, Vol. 5, No. 12 View Article	Article
04/20/9804/20/98	Fixed Income Developments 1998, presented at the Securities Industry Association Annual Legal Compliance Conference, Phoenix, AZ	Speech
01/01/9801/01/98	Securities Regulatory Issues at the Dawn of the Age of Computerized Electronic Communication, presented at The 20th Annual Advanced ALI-ABA Course of Study, Washington, D.C.	Speech
01/22/9701/22/97	Securities Regulation and the Internet, presented at the Twenty-Fourth Annual Securities Regulation Institute, Coronado, CA	Speech
03/01/96March 1996	Financial Derivatives: Evaluating Regulatory Recommendations, The Metropolitan Corporate Counsel	Article
02/16/9602/16/96	Code of Ethics for Banks, presented at the Regulatory and Compliance Seminar, U.S. Council on International Banking, New York	Speech
08/01/91August 1991	Investment Securities Review, The Business Lawyer, Vol. 46, No. 4	Article

practice areas

bar admissions

Robert C. Mendelson

practice accolades

education

Publications

News