Ben A. Indek

Email: bindek@morganlewis.com

New York
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6109
Fax: 212.309.6001

education

New York Law School, 1992, J.D.

University of Vermont, 1984, B.A.

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
01/31/12January 2012	2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers View Publication	White Paper
11/04/1111/04/11	Securities Compliance and Examinations for Broker-Dealers, Advisors, and Funds, presented at the ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. View Outline	Speech
10/27/1110/27/11	Opening Remarks, presented at the 12th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law, New York View Presentation	Speech
10/18/1110/18/11	Regulatory Examinations (Large Firms), presented at the National Society of Compliance Professionals 2011 National Meeting, Baltimore, MD View Outline	Speech
05/06/1105/06/11	The Evolving Role of the Compliance Officer, presented at the Futures Industry Association Law & Compliance Conference View Presentation	Speech
03/23/1103/23/11	U.S. Supreme Court: Manufacturer Can Be Sued for Failing to Disclose Adverse Reports View LawFlash	Securities LawFlash
02/01/1102/01/11	Regulatory Risk Management at the NSCP - SEC Training Day, Washington, D.C.	Speech
01/26/11January 2011	2010 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers View Publication	White Paper
12/22/1012/22/10	SEC Enters Into First Nonprosecution Agreement as Part of Its New Cooperation Initiative View LawFlash	Securities LawFlash
11/16/1011/16/10	Retail Brokerage and Advisory Issues, presented at the SIFMA Compliance and Legal Society 2010 Fall Compliance and Legal Seminar, New York view Outline	Speech
11/02/1011/02/10	Enforcement Workshop, presented at the 2010 NSCP National Membership Meeting, Baltimore, Maryland View Outline	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
06/07/1006/07/10	Dialogue with Area Regulators, presented at the NSCP East Coast Regional Membership Meeting View Presentation	Speech
05/06/1005/06/10	Conflicts Management, presented at the SIFMA Compliance and Legal Society 2010 Annual Seminar, National Harbor, Maryland View Outline	Speech
02/25/1002/25/10	Enforcement Developments Regarding Broker-Dealers, Law360 Guest Column View Article	Article
01/28/10January 2010	2009 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers View White Paper	White Paper
01/26/10January 2010	The Securities and Exchange Commission Announces New Cooperation Initiative View the White Paper	White Paper
11/18/0911/18/09	Retail Brokerage and Advisory Issues: New Products, New Problems?, presented at the SIFMA Compliance & Legal Division 2009 Fall Compliance Seminar, New York View Presentation	Speech
10/28/0910/28/09	Opening Remarks, presented at the 10th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities, and Financial Law, New York View Presentation	Speech
10/06/0910/06/09	Dealing with Regulatory Enforcement, 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
03/30/0903/30/09	Supervisory Responsibilities, presented at the NSCP East Coast Regional Conference, Boston View Presentation	Speech
03/23/0903/23/09	Regulatory Securities Examinations and Inquiries: The Firm’s Perspective, presented at the SIFMA Compliance and Legal Division 2009 Annual Seminar, Phoenix, AZ View Presentation	Speech
03/18/0903/18/09	Back to Basics: FINRA Issues 2009 Examination Priorities View LawFlash	Securities Industry FYI
03/05/0903/05/09	FINRA Proposes Significant Changes to Forms U4 and U5 View LawFlash	Investment Management FYI
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
11/11/0811/11/08	Retail Brokerage and Advisory Issues, presented at the SIFMA Compliance and Legal Division 2008 Fall Compliance Seminar, New York View Presentation	Speech
11/06/0811/06/08	Tracker Impact Analysis: SEC Fines LPL Financial Corporation for Regulation S-P Violations, Complinet View Article	Article
10/21/0810/21/08	The Regulatory Enforcement Process, presented at the 2008 NSCP National Membership Meeting, Philadelphia View Presentation	Speech
10/15/0810/15/08	SEC Lifts the Veil on Its Enforcement Process by Publishing Enforcement Manual View LawFlash	Securities LawFlash
09/24/0809/24/08	Supervision Challenges in a Changing Electronic World, presented at the SIFMA Electronic Communications and Records Forum, New York View Presentation	Speech
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
06/10/0806/10/08	Conducting Internal Investigations, presented at the FINRA Institute at Wharton, New York View Presentation	Speech
05/08/0805/08/08	Emerging Regulatory Trends Facing Member Firms and Hedge Funds, presented at the NYSE Regulation-Division of Enforcement and Risk Group Offsite Conference, New York	Speech
05/06/0805/06/08	SEC Fires Another Warning Shot Over Insider Trading Policies and Procedures View LawFlash	Securities LawFlash
04/18/0804/18/08	Conducting Internal Investigations, presented at FINRA Class Room Learning: Compliance Essentials, New York	Speech
04/02/0804/02/08	Electronic Communications, presented at the SIFMA C&L Annual Seminar, Orlando, FL 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
11/13/0711/13/07	The Examination Process from the Regulators' Perspective, presented at the SIFMA-CL Fall "New SRO FINRA" Compliance Seminar, New York View Speech	Speech
10/17/0710/17/07	Ethics for Compliance Officers, presented at the 2007 NSCP National Membership Meeting, Washington, D.C. View Speech	Speech
09/20/0709/20/07	Meeting the Supervisory Challenge, presented at Complinet's New York Summit, New York View Speech	Speech
07/01/07Summer 2007	U.S. SEC, NASD, and NYSE Regulation: Selected Enforcement Cases and Developments in the First Half of 2007 Regarding Broker-Dealers View White Paper	White Paper
06/07/0706/07/07	Designing an Effective Retail Compliance Program, presented at SIFMA's 2007 Chicago Regional Seminar, Chicago View Speech	Speech
04/23/0704/23/07	BD Regulatory Audits, presented at the NSCP East Coast Meeting, Boston View Speech	Speech
03/26/0703/26/07	Electronic Communications, presented at the SIFMA Compliance & Legal Division's 2007 Annual Seminar, Phoenix View Speech	Speech
02/21/07February 2007	The Regulatory Examination Process View White Paper	White Paper
01/23/07January 2007	2006 In Review: SEC, NASD, and NYSE Regulation: Selected Enforcement Cases and Developments Regarding Broker-Dealers View White Paper	White Paper
11/20/0611/13/2006	Securities Industry Association, presented at the Compliance and Legal Division Fall Compliance Seminar, New York View Article	Speech
10/19/0610/19/06	BD Regulatory Audits: What You Need to Know, presented at the NSCP 2006 National Membership Meeting, Washington, D.C. View Speech	Speech
10/17/0610/17/06	Welcome Remarks to the Seventh Annual A.A. Sommer, Jr. Corporate Securities & Financial Law Lecture, New York View Speech	Speech
10/12/0610/12/06	Putting the Effective in Your Compliance Program, presented at the SIA Compliance & Legal Division Regional Seminar, Washington, D.C. View Speech	Speech
09/29/0609/29/06	NASAA Annual Conference, presented at the Report on Enforcement and Examination Issues View Notes
06/19/0606/19/06	Electronic Communications Best Practices, presented at the NYSE Regulation Second Annual Securities Conference, New York View Speech	Speech
05/01/0605/01/06	BD Hot Buttons, presented at the NSCP 2006 East Coast Regional Meeting, New York View Speech	Speech
03/22/0603/22/06	Document Retention Standards - Building Your Model, presented at the SIA C&L 2006 Annual Seminar, Hollywood, FL View Speech View SEC Release	Speech
03/08/0603/08/06	Best Practices of Very Small Firms, presented at the NASD Small Firm Conference, New York View Speech	Speech
01/01/06January 2006	2005 NASD, NYSE, and SEC Enforcement Developments View White Paper	White Paper
11/17/0511/17/05	Welcome Remarks to the Sixth Annual A.A. Sommer, Jr. Corporate Securities and Financial Law Lecture, presented at Fordham University School of Law, New York	Speech
11/09/0511/09/05	The Examination Process, presented at SIA C&L Fall Compliance Seminar, New York View Outline	Speech
10/31/05October 2005	The New York Stock Exchange and Cooperation: Another Precinct Heard From, Journal of Investment Compliance, Vol. 6 No. 2	Article
10/25/0510/25/05	NASD and NYSE Investigations from Start to “Wells” Type Notices: Working with Regulators in Your Client’s Best Interest, presented at the American Conference Institute's Broker-Dealer Enforcement Actions Conference, New York View Presentation	Speech
10/24/0510/24/05	2005 Industry Overview "What's New and Hot?" presented at The 2005 NSCP National Meeting, Alexandria, VA	Speech
10/19/0510/19/05	Ethical Minefield: Multiple Representation in Government Probes, New York Law Journal View Article	Article
10/12/05October 2005	The New York Stock Exchange and Cooperation — Another Precinct Heard From View White Paper	White Paper
08/18/0508/18/05	Securities Litigation and Enforcement: Appellate Review of SEC Administrative and SRO Decisions, New York Law Journal	Article
07/14/0507/14/05	NASD Rule 3013 (CEO Certification) NRS, "Getting NASD Rules 3012, 3013 and Amended 3010 Under Control" Conference, New York	Speech
06/22/0506/22/05	Supervision of Electronic Communications, presented at the New York Stock Exchange Regulation First Annual Securities Conference, New York	Speech
06/16/0506/16/05	Failure to Cooperate: Offense or Defense, New York Law Journal View Article	Article
05/24/0505/24/05	Enforcement Hot Topics, presented at The NASD Spring Securities Conference, Chicago View Speech	Speech
05/02/0505/02/05	BD Regulatory Audits, National Society of Compliance Professionals 2005 East Coast Regional Meeting, New York View Speech	Speech
04/05/0504/05/05	Litigating with S.R.O.'s, presented at the Securities Industries Association Compliance & Legal Division 2005 Annual Seminar, Palm Desert, CA View Speech	Speech
03/10/0503/10/05	The NASD CEO Certification Rule, NRS' Broker/Dealer Conference - CEO Now Stands for "Certifying" Executive Officer in Orlando, FL	Speech
02/28/0502/28/05	BD Regulatory Audits, presented at The National Society of Compliance Professionals 2005 Southern Regional Meeting, Atlanta View Speech	Speech
02/16/0502/16/05	Due Process and Self-Regulation, New York Law Journal View Article	Article
02/03/0502/03/05	Supervision and Supervisory Structure: A Legal and Regulatory Approach; NASD Institute for Professional Development - Supervision in the Financial Services Industry Symposium, New York	Speech
12/23/042004	Establishment and Maintenance of a Supervisory Structure (Chapter 4), Broker-Dealer Regulation (PLI) View Chapter	Chapter
11/10/0411/10/04	The Examination Process, presented at the SIA Compliance and Legal Division Fall Compliance Seminar View Presentation	Speech
10/27/0410/27/04	BD Supervision, presented at the 2004 NSCP National Meeting	Speech
10/21/0410/21/04	SEC Approves NASD's CEO Certification Rule, New York Law Journal View Article	Article
10/13/0410/13/04	Recent Regulatory Scrutiny of Mutual Fund and Variable Annuity Sales Practices, presented at the NRS 19th Annual Compliance Conference	Speech
06/25/0406/25/04	Hiring Practices: Compliance and Risk Management, presented at the NASD Institute Back Office Symposium	Speech
06/17/0406/17/04	SEC Examination Privilege Rejected, New York Law Journal View Article	Article
06/09/0406/09/04	Big Firms, Small Firms - When is "Enough" Supervision Enough?, presented at the Office of Financial Regulation/NASAA Broker/Dealer Training, Ft. Lauderdale, FL	Speech
06/04/0406/04/04	Navigating the Compliance/Regulatory and Employment Law Minefield, presented at the HRM Committee SIA View Speech	Speech
04/15/0404/15/04	Appellate Court Ratchets Up State Role in Securities Law Prosecution, New York Law Journal View Article	Article
04/14/0404/14/04	NASD Field Office Examination Findings, presented at the NRS’ Nineteenth Annual Spring Compliance/Risk Management Conference, Bonita Springs, FL	Speech
03/23/0403/23/04	Designing an Effective Retail Surveillance Program , presented at the SIA Compliance & Legal Division Fall Compliance Seminar, Phoenix	Speech
02/23/0402/23/04	BD Regulatory Audits, presented at the NSCP Southern Membership Meeting, Atlanta	Speech
02/19/0402/19/04	Outside Directors and Red Flags, New York Law Journal View Article	Article
02/07/0402/07/04	Managing A Regulatory Crisis, presented at NRS Advanced Compliance Training, Washington, D.C.	Speech
11/04/0311/04/03	Examination Priorities - SIA Compliance & Legal Division Fall Compliance Seminar	Speech
10/30/0310/30/03	New BD Supervisory Rule Requirements, presented at the NSCP National Membership Meeting, Arlington, VA	Speech
10/20/0310/20/03	Recent Developments in SEC Settlements, New York Law Journal View Article	Article
10/17/0310/17/03	Market Regulation and Surveillance, presented at the NASD 2003 Fall Securities Conference, Scottsdale, AZ	Speech
09/30/0309/30/03	Hiring Practices: Compliance and Risk Management - NASD Institute Phase II Branch Office Management Symposium	Speech
06/27/0306/27/03	National Association of Securities Dealers' Certification Proposal, New York Law Journal View Article	Article
04/07/0304/07/03	Supervision of Branch Managers, presented at the SIA Compliance & Legal Division Annual Seminar, Orlando, FL	Speech
03/31/0303/31/03	Red Flag Review - NSCP East Coast Regional Membership Meeting	Speech
02/26/0302/26/03	Regulatory Outlook- The Risk You Can’t Afford to Take - The Bond Market Association’s 13th Annual Regional Bond Dealers Management Conference, Orlando, FL	Speech
02/20/0302/20/03	Supervising the Supervisor, New York Law Journal View Article	Article
02/07/0302/07/03	Managing A Regulatory Crisis, presented at the NRS Advanced Compliance Training & Risk Management Techniques Conference, Washington, D.C. View Presentation	Speech
12/01/02December 2002	SRO Proposals on Internal Controls and Sales Practice Supervision, Morgan Lewis on Securities December 2002 View Article	Article
11/13/0211/13/02	Written Supervisory and Compliance Procedures, presented at the SIA Compliance & Legal Division Fall Compliance Seminar	Speech
11/01/02November/December 2002	More SRO Research Analyst Rulemaking on the Horizon, NSCP Currents View Article	Article
10/17/0210/17/02	NASD Sets Standards For Evaluating Delays in Disciplinary Proceedings, New York Law Journal View Article	Article
10/09/0210/09/02	The Changing Dimensions of Supervisory Responsibility at Securities Firms View Presentation	Speech
10/02/0210/02/02	Advanced Concepts of Compliance, presented at the NSCP National Membership Meeting View Presentation	Speech
09/01/02September 2002	SRO Research Analyst Conflict of Interest Rules, NSCP Currents	Article
06/20/0206/20/02	Corporate Criminal Responsibility, New York Law Journal View Article	Article
04/23/0204/23/02	Heightened Supervision, presented at the 2002 NASD Regulation Spring Securities Conference, Washington, D.C. View Presentation	Speech
04/23/0204/23/02	Registered Reps: Heightened Procedures for Pre-Hire, Retention, Termination and Audit and Exam Protocols, presented at the NRS Compliance Conference, NM View Presentation	Speech
04/17/0204/17/02	The Current SEC Enforcement Landscape, New York Law Journal View Article	Article
03/13/0203/13/02	Customer Complaints, presented at the SIA Compliance & Legal Division Seminar, Orlando, FL	Speech
02/21/0202/21/02	SRO Disciplinary Proceedings: How Much Delay is Unfair? New York Law Journal View Article	Article
10/19/0110/19/01	Securities Regulators Respond Promptly and Effectively to Terrorist Attacks, New York Law Journal View Article	Article
06/21/0106/21/01	A Question of Fairness, New York Law Journal View Article	Article
06/13/0106/13/01	Variable Annuity and Class B Share Sales Practice and Supervisory Issues, presented to the New England Broker-Dealer and Investment Advisor Association	Speech
05/24/0105/24/01	Regulatory Concerns: The SEC and NASD Examination and Enforcement Focus - National Regulatory Services, presented to the Branch Office Compliance Practices Conference	Speech
02/17/0002/17/00	Recent SEC Rule Proposals Come Under Attack, New York Law Journal	Article
11/17/9911/17/99	Written Supervisory and Compliance Procedures, presented at the SIA Compliance & Legal Division Fall Seminar, New York	Speech
10/19/9910/19/99	Regulations in the Making: Litigation and Enforcement Update, presented at the Institute for International Research, Broker-Dealer Electronic/Internet Compliance Forum, Boston	Speech
09/01/9709/01/97	The SEC Recently Approved Modifications to the NASDR's Disciplinary Proceedings, Which Should Improve Due Process Protections for Respondents, The National Law Journal	Article
11/04/9511/04/95	Continuing the Debate: The SEC's Enforcement Program, presented at the Practising Law Institute's 27th Annual Institute on Securities Regulation, New York	Speech

Date	Title	Description
Jan 01, 2010	Law360 Names Morgan Lewis as a Top Securities Defense Firm for 2009	Law360 selected Morgan Lewis as one of five top securities defense firms of the year, citing the firm's capacity for combining counseling and transactional securities law with dispute litigation and enforcement.
Jun 29, 2009	Q&A With Morgan Lewis' Ben Indek, Law360	Ben Indek is interviewed, discussing the past, present, and future of his practice and securities law.
Dec 24, 2008	SEC Chief Defends His Restraint, Washington Post	Ben Indek comments on the SEC's actions against broker-dealers over the 2007 and 2008 fiscal years.
Oct 30, 2007	Ben A. Indek Elected to Board of Directors of the National Society of Compliance Professionals (NSCP)	On October 19, 2007, New York Litigation Partner Ben A. Indek was elected to the board of directors of the National Society of Compliance Professionals (NSCP).

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Ben A. Indek

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