Anne C. Flannery

Email: aflannery@morganlewis.com

New York
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6370
Fax: 212.309.6001

education

Brooklyn Law School, 1976, J.D., Cum Laude

Marymount Manhattan College, 1973, B.A., Cum Laude

Publications

Date	Title	Publication
02/01/1202/01/12	Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review View LawFlash	Securities LawFlash
01/31/1201/31/12	2011 Year in Review: Asset Management Roundtable View Presentation	Speech
01/31/12January 2012	2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers View Publication	White Paper
01/18/1201/18/12	Compliance Officer Liability, presented to the SRO Subcommittee of the ABA Securities Litigation Committee View Presentation	Speech
09/27/1109/27/11	Research, Marketing, Financing and Selling Restrictions Relating to ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session II View Presentation	Speech
05/05/1105/05/11	Mutual Fund Crisis Preparation and Response: Some Practical Insights into Preparing for and Responding to a Crisis Affecting Your Organization, presented at the ICI 2011 General Membership Meeting, Washington, D.C.	Speech
03/18/11March 2011	Morgan Lewis 2010 Hedge Fund Enforcement Year in Review View White Paper	White Paper
02/17/1102/17/11	SEC and FINRA 2010 Year in Review View Presentation	Webinar
01/26/11January 2011	2010 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers View Publication	White Paper
09/29/1009/29/10	Compliance Roundtable Seminar View Presentation	Speech
08/06/10August 2010	2010 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers View White Paper	White Paper
05/06/1005/06/10	Understanding Control Risks, presented at the SIFMA Compliance & Legal Society 2010 Annual Seminar, Washington, D.C. View Presentation View Outline	Speech
01/28/10January 2010	2009 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers View White Paper	White Paper
10/19/0910/19/09	Looking Forward to 2010: Hot SEC Topics for Advisers, presented at the TD Ameritrade Institutional 2009 Fall Regional Conference, New York View Presentation	Speech
10/07/0910/07/09	The Compliance Officer Self-Protection Plan, presented at the NSCP National Membership Meeting, Philadelphia View Presentation	Speech
07/31/09July 2009	2009 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers View White Paper	White Paper
06/19/0906/19/09	Ethical Responsibilities of Legal and Compliance Professionals: Recent SEC and FINRA Cases Involving Lawyers and Compliance Professionals, presented at the 31st Annual ALI-ABA Broker-Dealer Regulation Conference, New York View Presentation	Speech
06/12/0906/12/09	Conducting Internal Investigations, presented for the FINRA Institute at Wharton Business School, Philadelphia View Presentation	Speech
02/05/0902/05/09	2008 SEC and SRO Enforcement Year in Review, Complinet View Article	Article
01/21/09January 2009	2008 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers View White Paper	White Paper
08/15/08August 2008	U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments View White Paper	White Paper
07/17/0807/17/08	SEC Issues Emergency Order to Deter Uncovered Short Sales in Certain Financial Institutions View LawFlash	Securities Industry FYI
06/18/0806/18/08	The New Examination Process: How to Be Prepared, presented at the BISA Conference, Washington, D.C. View Presentation	Speech
02/01/08January/February 2008	2007 Year In Review: SEC and SRO Enforcement Cases and Developments Regarding Broker-Dealers, NSCP Currents View Article	Article
01/18/08January 2008	2007 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers View White Paper	White Paper
10/17/0710/17/07	Protecting the Chief Compliance Officer From Regulatory and Civil Liability, presented at the 2007 NSCP National Membership Meeting, Washington, D.C.	Speech
02/21/07February 2007	The Regulatory Examination Process View White Paper	White Paper
08/01/06August 2006	Anti-Money Laundering Compliance Programs: Time to Reevaluate Risks, The Investment Lawyer, Vol. 13, No. 8 View Article	Article
06/20/0606/20/06	Managing Conflicts Within Financial Institutions, presented at the NYSE Regulation Second Annual Securities Conference, New York	Speech
06/01/0606/01/06	Securities Arbitration & Mediation, presented at the City Bar Association Seminar, New York	Speech
05/19/0605/19/06	Research Analyst Issues, presented at the NASD Spring Conference, Hollywood, FL	Speech
05/11/0605/11/06	Managing Antitrust Matters in the Modern Corporate Governance Era, presented at the ABA Antitrust Section & City Bar Seminar, New York	Speech
04/05/0604/05/06	Recent Developments in Securities Enforcement, presented at the New York County Lawyers Association Seminar, New York	Speech
03/18/0603/18/06	Litigating with SROs, presented at the SIA Annual Compliance and Legal Division Conference, Hollywood, FL	Speech
06/01/9906/01/99	Damage Control: Managing the Inevitable Corporate Crisis, presented at the Practising Law Institute Corporate Compliance 1999 Meeting, New York	Speech
12/08/9812/08/98	Due Process: The SEC Confronts Regulation of a Global Financial Services Industry, presented a the IBC UK Conferences Limited, London	Speech
12/01/98December 1998	Supervision of Remote Representatives, NSCP Currents	Article
10/29/9810/29/98	Broker-Dealer Supervision of Remote Representatives, presented at the 1998 National NSCP Membership Meeting, Washington, D.C.	Speech
06/01/9806/01/98	Selected Decisions Relating to Contested SEC and SRO Cases and Criminal Securities Prosecutions in 1997 and 1998, presented before the ABA-CLE 1st Annual National Institute on Securities Litigation and Arbitration, New York	Speech
12/01/97December 1997	Protection of Internal Corporate Investigation Materials Under the Attorney-Client Privilege and Work Product Doctrine, The Metropolitan Corporate Counsel	Article
11/08/9711/08/97	The Confusion Continues: Protection of Internal Corporate Investigation Materials Under the Attorney-Client Privilege and Work Product Doctrine, Revisited, presented at The 29th Annual Institute on Securities Regulation, Practising Law Institute, New York	Speech
11/02/9611/02/96	Between a Rock and a Hard Place: Internal Corporate Investigations and the Attorney-Client Privilege, presented at the Practising Law Institute's 28th Annual Institute on Securities Regulation, New York	Speech
11/01/96November 1996	Recent Decisions on the Attorney-Client Privilege and Their Impact on Internal Corporate Investigations, The Metropolitan Corporate Counsel	Article
06/04/9606/04/96	Deciding Whether to Settle or Litigate With the Commission: A Survey of SEC Civil Enforcement Cases, presented at the American Conference Institute Fourth Annual Securities Litigation and Enforcement Conference, Miami	Speech
01/13/9601/13/96	Arbitrations -- Has the Favored Child Become Spoiled? A Look at How Arbitration Has Fared In Resolving Securities and Employment Disputes, Attorney Interviews with Branch Office Manager and Account Executive: Assessing the Case and Development of a Strategic Plan for Defense, presented at the American Bar Association, Section of Litigation Annual Meeting, Miami	Speech
12/01/95December 1995	Lawyers Beware: The SEC is Back and Looking for You, Metropolitan Corporate Counsel	Article
05/19/9505/19/95	Recent Enforcement Developments: A Survey of the SEC's Application of Its Authority Under the 1990 Remedies Act, Parallel Proceedings and SEC Initiatives Against Investment Advisers, presented at the American Conference Institute, Securities Litigation & Enforcement, New York	Speech
11/04/9411/04/94	Survey of Recent Enforcement Developments - Maximizing the Penalties for Violative Conduct, presented at the 26th Annual Institute on Securities Regulation, Practising Law Institute, New York	Speech
10/01/9410/01/94	Parallel Proceedings: Responding Concurrently to the SEC, the SROs, the State and the Justice Department, presented at the Twenty-Second Annual Securities Regulation Institute, New York	Speech
06/03/9406/03/94	Survey of Recent SRO Disciplinary Activity and Summary of the Forthcoming ABA Task Force Report on the SRO Disciplinary Process, presented at a Securities and Exchange Commission sponsored conference, Washington, D.C.	Speech
06/01/94June 1994	Time For A Change: A Re-Examination of the Settlement Policies of the Securities and Exchange Commission, Washington and Lee Law Review, Vol. 51, No. 3	Article
07/01/92July 1992	Update: Compliance Officers' Supervisory Responsibilities, Insights, Vol. 6, No. 7 View Article	Article
12/05/9012/05/90	The Necessity for Greater Due Process in Investigations and Disciplinary Actions by Self-Regulatory Organizations, presented at Georgetown University, Washington, D.C.	Speech
02/20/9002/20/90	Recent Developments in SEC Supervision Cases, C&L News & Notes, Compliance and Legal Division (Securities Industry Association Publication)	Article

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Anne C. Flannery

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