Steven W. Stone Partner

Email: sstone@morganlewis.com

Washington, D.C.: 1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5453
Fax: 202.739.3001

Steven W. Stone is the leader of Morgan Lewis's Investment Management Practice Group. He is also a member of the firm's Advisory Board. Mr. Stone’s practice focuses on broker-dealer and investment manager regulation and enforcement defense and regulation of the securities markets. Mr. Stone has a broad background in broker-dealer and investment management regulation, representing major investment banks, broker-dealers and investment managers in a wide range of matters. He frequently advises trading desks of both broker-dealers and investment managers on a range of issues.

Mr. Stone counsels clients on a wide variety of regulatory and transactional matters, including development of new products and services; federal and state registration and compliance issues; SEC, NASD and state investigations; and enforcement actions; mergers and acquisitions and joint ventures involving broker-dealers and investment advisers; interpretive and "no-action" letter requests; insider trading issues; and related matters.

Mr. Stone is listed in The US Legal 500 and Chambers USA: America's Leading Lawyers for Business. Mr. Stone was named by Chambers as one of the leading U.S. lawyers for investment management law and was recognized as "one of the best in the field."

Mr. Stone is admitted to practice in the District of Columbia and Pennsylvania.

Practice Accolades

Investment Management

Ranked, Tier 1: Financial Services Regulation: Broker Dealer Regulation (National) Practice in Chambers USA (2009)

Ranked, Band 1: Investment Fund Formation and Management: Mutual Funds in The U.S. Legal 500 (2009)

Honors + Affiliations

Listed, Chambers USA: America's Leading Lawyers for Business (2005–2010)

Listed, Investment Fund Formation and Management: Alternative/Hedge Funds in The US Legal 500 (2009)

Listed, Investment Fund Formation and Management: Mutual Funds in The US Legal 500 (2009)

Listed, "Guide to the World's Leading Investment Funds Lawyers," International Financial Law Review/Expert Guides (2008)

Listed, Washington, D.C. Super Lawyers (2008)

Member, American Bar Association, Business Law Section

Editorial Board Member, Practical Compliance & Risk Management

Advisory Board Member, Wall Street Lawyer & Journal of Performance Measurement

Former Managing Editor, The George Washington Law Review

Former Associate Editor, Consumer Protection Reporting Service

Education

George Washington University National Law Center, 1988, J.D.
Bates College, 1983, B.A.

Publications

Date	Title	Publication
01/07/1001/07/10	Social Networking in the Securities Context, presented as an ALI-ABA Webinar	Speech
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	Commission Sharing Agreements vs. Traditional Soft Dollar Agreements: What Has Changed?, presented at the NSCP National Membership Meeting, Workshop Session X(c)IA, Philadelphia View Presentation View Outline	Speech
09/23/0909/23/09	Preparing for an SEC Exam, presented at GIPS Standards Annual Conference 2009, Boston View Presentation	Speech
09/22/0909/22/09	Performance Advertising 101: Regulatory Do's and Don'ts, presented at GIPS Standards Annual Conference 2009, Boston View Presentation	Speech
09/21/0909/21/09	Investment Advisers: The Changing Regulatory Landscape, presented at an ALI-ABA Conference	Speech
09/17/0909/17/09	Investment Advice Issues, presented at the SIFMA Annual Savings and Retirement Conference 2009, Washington, D.C.	Speech
08/07/0908/07/09	Proposed Rule under Investment Advisers Act Would Limit “Pay to Play” Practices View LawFlash	Private Investment Funds LawFlash
07/17/0907/17/09	Legislation Proposed by U.S. Treasury Would Require Private Fund Advisers to Register with the SEC View LawFlash	Investment Management FYI
07/15/0907/15/09	Cross-Border Webcast for the Financial Services Sector View Presentation	Webcast
06/24/0906/24/09	Examination Protocols, presented at the SEC's International Institute for the Regulation and Inspection of Investment Advisers, Washington, D.C.	Speech
06/22/09June 2009	The Madoff “Opportunity”: Harmonizing the Overarching Standard of Care for Financial Professionals Who Give Investment Advice, Wall Street Lawyer, Vol. 13, Issue 6 View Article	Article
05/21/0905/21/09	An Update on Regulatory Issues, presented at the 7th Annual PMAR Conference, Philadelphia	Speech
05/15/0905/15/09	SEC Proposes Strengthening of Advisers Act Custody Rule View LawFlash	Investment Management FYI
05/14/0905/14/09	Washington Update, presented at the Trader Forum 2009 Annual Conference, Orlando, FL	Speech
04/27/0904/27/09	SEC Inspection Priorities for Investment Advisers and Mutual Funds in the Wake of the Market Crisis, presented at the 2009 NRS Annual Spring Compliance Conference, Orlando, FL View Presentation	Speech
03/05/0903/05/09	FINRA Proposes Significant Changes to Forms U4 and U5 View LawFlash	Investment Management FYI
02/24/0902/24/09	SEC Requires Interactive Data Disclosure for Funds’ Risk/Return Summaries View LawFlash	Investment Management FYI
02/18/09February 2009	Model, Hypothetical, and Backtested Performance—Best Practices, Investment Performance Measurement Newsletter (click here to read the article)	Article
01/15/0901/15/09	Wrap Fee Programs and Separately Managed Accounts, presented at ALI-ABA's Investment Adviser Regulation Conference, New York View Presentation
01/12/09January 2009	Regulatory and Operational Considerations for U.S. Advisers Investing Abroad, IAA Newsletter: Compliance Corner View Article	Article
10/21/0810/21/08	Amendments to Part 2 of Form ADV, presented at the NSCP National Membership Meeting, Philadelphia	Speech
10/16/0810/16/08	SEC Adopts Interim Close-Out Requirements for Short Sales View LawFlash	Investment Management LawFlash
10/03/08November 2008	SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule, Derivatives Financial Products Report View Article	Article
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
08/13/0808/13/08	SEC Proposes Guidance for Investment Company Boards of Directors on Adviser Trading Practices View LawFlash	Investment Management FYI
07/30/0807/30/08	SEC and DOL Agree to Cooperate in Examinations View LawFlash	Investment Management FYI
07/22/0807/22/08	SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule View LawFlash	Investment Management FYI
06/30/0806/30/08	SEC Proposes Major Revisions to Rule 15a-6 View LawFlash	Securities Industry FYI
06/25/0806/25/08	National Financial Risk and Regulatory Client Webinar: Proposed Regulation S-P Amendments View Presentation	Webcast
05/16/0805/16/08	FINRA Issues Proposals on Rulebook Consolidation View LawFlash	Securities Industry FYI
04/10/0804/10/08	Trading Conflicts of Interests, presented at the IMS National Conference: The Next Step in Compliance - The Integration of Operations & Business Management, New Orleans, LA View Current Best Execution Presentation View Trading Conflicts of Interest Presentation	Speech
04/09/0804/09/08	The Globalization of Compliance: Special Program for Global Money Managers, presented at the IMS National Conference: The Next Step in Compliance - The Integration of Operations & Business Management, New Orleans, LA View Global SMAs Presentation View MiFID Presentation	Speech
03/07/0803/07/08	SEC Finally Publishes Proposed Amendments to Part 2 of Form ADV View LawFlash	Investment Management FYI
12/06/0712/06/07	Trading and Market Structure Issues, presented at ICI's 2007 Securities Law Developments Conference, Washington, D.C.	Speech
10/17/0710/17/07	Conflicts of Interest (Large Firms), presented at the 2007 NSCP National Membership Meeting, Washington, D.C. View Speech	Speech
10/12/0710/12/07	Compliance Issues Impacting Institutional Investors, presented at the 2007 Equity, Fixed Income, and Derivatives Markets Conference, New York View Speech	Speech
10/03/0710/03/07	SMAs: Wrapping Up Compliance Issues, presented at 2007 Institutional Investor's Legal Forum Global Roundtable, San Francisco View Speech	Speech
10/02/0710/02/07	The Globalization of Compliance - Test Case: Global SMAs, presented at the IMS National Compliance Conference, Napa, CA View Speech	Speech
06/07/0706/07/07	Current Best Execution, Trading, and Investment Opportunity Issues, presented at the Money Management Institute's Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance View Presentation	Speech
06/07/0706/07/07	International Issues, presented at the Money Management Institute's Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance View Presentation	Speech
05/23/0705/23/07	How Investment Firms Manage and Disclose Conflicts: What Do Regulators Expect?, presented at the Alliance Bernstein Subadvisory Compliance Conference, New York View Presentation	Speech
05/17/0705/17/07	Wrap/SMA Accounts: New Developments and Compliance Issues, presented to the Investment Adviser Association, Washington, D.C. View Presentation	Speech
04/17/0704/17/07	Portfolio Trading and Best Execution, presented at the NRS 22nd Annual Spring Compliance Conference, Orlando, FL View Presentation	Speech
03/27/0703/27/07	Investment Adviser Rules – From the Broker-Dealer’s Perspective, presented to SIFMA-CL View Presentation	Speech
03/25/0703/25/07	Investment Adviser Issues for Broker-Dealers, presented at the SIFMA Compliance & Legal Division's Annual Seminar 2007, Phoenix View Presentation	Speech
03/23/0703/23/07	Best Execution and Trading Issues, presented at the 9th Annual IA Compliance Best Practices Summit 2007, Washington, D.C.	Speech
03/20/0703/20/07	Administration Best Practices: Implementing and Maintaining Effective Soft Dollar Program, presented at IIR's 14th Annual Soft Dollar Practices Forum, New York View Presentation	Speech
03/19/0703/19/07	Disclosure Issues in Connection with Side Pockets and Side Letters, presented at West Legalworks New Frontier in Hedge Fund Due Diligence, New York	Speech
03/19/0703/19/07	Due Diligence Concerns with Side Letters, presented at the New Frontiers in Hedge Fund Due Diligence Conference, New York View Presentation	Speech
03/07/0703/07/07	Understanding the Impacts of Public Policy, presented at the 2007 SEI Executive Conference, Orlando, FL	Speech
01/30/0701/30/07	Best Execution and Brokerage Practices, presented at the 7th Annual IA Compliance Forum, New York	Speech
01/17/0701/17/07	A Plan for an Annual Compliance Review & Keeping Ahead of the Regs, presented at the FRA's 2nd Annual Best Practices for Conducting the Required Annual Compliance Review for Investment Advisors, New York	Speech
12/14/0612/14/06	Understanding Mutual Fees	Webcast
12/05/0612/05/06	Emerging Issues with Model Based Programs, presented at the Legal/Regulatory Affairs Conference for General Counsels and Chief Compliance Officers, Washington, D.C. View Presentation	Speech
11/09/0611/09/06	Evaluating and Improving Annual Reviews, presented at NRS' Protecting Your Firm from SEC Scrutiny, Greenwich, CT View Presentation	Speech
11/01/06November 2006	Responding to Data Breaches in the Securities and Investment Management Industry, Wall Street Lawyer, Vol. 10 No. 11 View Article	Article
10/24/0610/24/06	New Rules of the Road for Brokers Offering Investment Advice, presented at the FRA's Dual Registrant Symposium, New York	Speech
10/19/0610/19/06	Supervision of Trading Desk Activities, presented at the 2006 NSCP National Membership Meeting, Washington D.C. View Presentation	Speech
10/16/0610/16/06	Supervisory Control Procedures: The Compliance Deadline Was Only the Beginning, presented at the Broker Dealer Week's Annual Fall Compliance Conference, Washington, D.C.	Speech
10/04/0610/04/06	Examination Crisis Management: What to Do When There Are Problems, presented at the NRS Fall 2006 Compliance Conference, Scottsdale, AZ View Presentation	Speech
10/01/06October 2006	A New Era in Soft Dollar Commission Arrangements: SEC Issues Revised Interpretation of Section 28(e), Wall Street Lawyer, Vol. 10 No. 10 View Article	Article
09/26/0609/26/06	Regulatory Focus: Issues Unique to the SMA Bank Channel, American Banker & Money Management Institute, presented at the 4th Annual Separately Managed Accounts Conference View Presentation	Speech
09/21/0609/21/06	How Firms Are Adapting to the Rule and a Look Towards the Future, presented at the SIA Fee Based Accounts Forum, New York View Presentation	Speech
09/06/0609/06/06	New SEC Soft Dollar Interpretation (Schwab Institutional Webcast) View Presentation	Speech
08/01/06August 2006	Anti-Money Laundering Compliance Programs: Time to Reevaluate Risks, The Investment Lawyer, Vol. 13, No. 8 View Article	Article
06/19/0606/19/06	Investment Adviser Advertising, presented at the Delaware Investments Training Session, Philadelphia View Presentation	Speech
06/06/0606/06/06	Current Best Execution, Trading and Investment Opportunity Issues, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance, Washington, D.C. View Presentation	Speech
06/06/0606/06/06	Discussion of MMI Legal/Regulatory Affairs Initiatives, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance, Washington, D.C. View Presentation	Speech
06/06/0606/06/06	New Investment Adviser Rules, BISA's Legislative, presented at the Regulatory & Compliance Conference, Washington, D.C. View Presentation	Speech
06/06/0606/06/06	Suitability, Individualization and Rule 3a-4 Issues, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance, Washington, D.C. View Presentation	Speech
05/01/06May 2006	Regulatory and Operational Issues for US Advisers Investing Overseas, The Investment Lawyer View Article	Article
04/26/0604/26/06	Routine SEC Exam Preparation Guidelines, presented at the Investment Management Legal and Compliance Biannual Conference, New York View Presentation	Speech
04/01/06April 2006	New Rules of the Road for Brokers Offering Investment Advice, Wall Street Lawyer: Securities in the Electronic Age, Vol. 10, No. 4 View Article	Article
03/08/0603/08/06	The Regulatory Landscape, presented at the Outsourcing in Financial Services Conference, New York View Presentation	Speech
01/26/0601/26/06	International SMA Developments - A Legal & Regulatory Framework, presented at the MMI 2006 Sales & Marketing Leadership Summit View Presentation	Speech
01/23/0601/23/06	Best Execution and Brokerage Practices, presented at the Investment Adviser Compliance Forum View Presentation	Speech
01/23/0601/23/06	Soft Dollars Never Die: Current Perspectives for 2006, presented at the Investment Adviser Compliance Forum View Presentation	Speech
01/01/0601/01/06	Unbundling’s Doorstep: How Did We Finally Get Here? View Presentation	Speech
12/06/0512/06/05	Best Execution, Trading and Investment Opportunity Issues, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance View Presentation	Speech
12/06/0512/06/05	New Developments in SMAs and Their Regulatory Dimensions, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance View Presentation	Speech
12/06/0512/06/05	Suitability, Individualization and Rule 3a-4 Issues, presented to the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance View Presentation	Speech
11/10/0511/10/05	Adviser Code of Ethics, presented at the CFA Institute/IAA Hedge Fund Compliance Conference View Presentation	Speech
10/26/0510/26/05	Investment Adviser Advertising, presented at the Investment Adviser Association's Compliance Workshop View Presentation	Speech
10/26/0510/26/05	Role of Advisers in Client Class-Action Claims, presented at the Investment Adviser Association's Compliance Workshop View Presentation	Speech
10/26/0510/26/05	Soft Dollar Developments, presented at the Investment Adviser Association's Compliance Workshop View Presentation	Speech
10/25/0510/25/05	Investment Adviser Conflicts of Interest, presented at the NSCP National Membership Meeting, Alexandria, VA View Presentation	Speech
10/18/0510/18/05	Coping with the New SEC Rules Extending Adviser Registration to Brokers Providing Advice, presented at the NRS 20th Annual Fall Compliance Conference, Miami Beach, FL View Presentation	Speech
10/01/05October 2005	The Role of Investment Advisers in Client Class Action Claims, The Investment Lawyer View Article	Article
08/01/0508/01/05	The Role of Investment Advisers in Client Class Action Claims, Investment Adviser Association Newsletter View Article	Article
06/14/0506/14/05	Annual Compliance Review, presented at the National Regulatory Services Compliance Program Rule Conference '05, Arlington, VA	Speech
06/07/0506/07/05	Follow the Money: Increased Scrutiny of Fee and Compensation Arrangements, 3rd Annual BISA Legislative, Regulatory and Compliance Conference View Presentation	Speech
06/02/0506/02/05	SEC Exams of Separately Managed Accounts, presented at the Money Management Institute View Presentation	Speech
05/17/0505/17/05	Best Execution, Brokerage Practices & Changes to Soft Dollar Requirements, presented at the Investment Advisor Compliance Forum View Presentation	Speech
04/06/0504/06/05	Investment Advisors II, presented at the SIA Compliance & Legal Division Seminar 2005, Palm Desert, CA View Presentation	Speech
01/12/0501/12/05	Achieving Best Execution - A Practical Guide, presented at Financial Markets World Best Execution Conference View Presentation	Speech
12/29/0412/29/04	Adviser Code of Ethics View Presentation	Speech
12/12/0412/12/04	Adviser Code of Ethics View Presentation	Webcast
11/29/0411/29/04	Responding to Coming Rule Changes on Soft Dollars	Speech
10/21/0410/21/04	Designing Disclosures and Procedures to Address Conflicts of Interest, presented at the NRS 19th Annual Fall Compliance Conference View Presentation	Speech
10/21/0410/21/04	Establishing Broker-Dealer and Rep Compensation Arrangements, presented at the NRS 19th Annual Fall Compliance Conference View Presentation	Speech
09/01/0409/01/04	Regulation & Its Effects on Our Business, presented at the Morgan Stanley Institutional Equity U.S. Head Trader Forum View Presentation	Speech
06/10/0406/10/04	Impact of Multiple Types of Fees and Services for Brokerage Services, presented at the BISA Regulatory & Compliance Conference View Presentation	Speech
05/11/0405/11/04	Best Execution & Brokerage Practices: Soft Dollars, Directed Brokerage, presented at the Investment Adviser Compliance Forum View Presentation	Speech
04/19/0404/19/04	Conflicts of Interest Facing Investment Advisers, presented at the NRS 19th Annual Spring Compliance Conference View Presentation	Speech
03/30/0403/30/04	Bridging the Gap Between IT & Compliance View Presentation	Speech
03/16/0403/16/04	Multi-Style Portfolios, presented at the 6th Annual ICAA/IA Week Best Practices Summit View Presentation	Speech
02/07/0402/07/04	Managing A Regulatory Crisis, presented at NRS Advanced Compliance Training, Washington, D.C.	Speech
10/29/0310/29/03	Advanced Compliance Concepts for Investment Advisers, presented at the NSCP National Membership Meeting View Presentation	Speech
10/29/0310/29/03	Current Issues with Wrap Accounts, presented at the NSCP National Membership Meeting View Presentation	Speech
10/23/0310/23/03	Regulation & its Effects on Our Business, presented at the Morgan Stanley Institutional Equity U.S. Head Trader Forum View Presentation	Speech
10/10/0310/10/03	Mutual Funds Update: Revenue Sharing and Internal Compensation Issues View Presentation	Speech
10/08/0310/08/03	Bank Affiliated Brokers—The Year Ahead View Presentation	Speech
09/10/0309/10/03	Advisory Referral Programs and Other Business Arrangements, presented at the NRS 18th Annual Fall Compliance Conference, Charleston, SC View Presentation	Speech
09/09/0309/09/03	How to Manage the SEC’s New Recordkeeping Rules View Presentation	Speech
07/22/0307/22/03	Structure Matters in Multi-Broker Soft Dollar and Commission Recapture Arrangements View Presentation	Speech
04/29/0304/29/03	Managing Conflicts, presented at the Fifth Annual IA Compliance Summit View Presentation	Speech
04/21/03March/April 2003	SEC Record Requirements For Advisors, Schwab Institutional Compliance Review View Article	Article
02/28/0302/28/03	Directed Brokerage & Soft Dollar Practices 2003: Understanding the Obligations of Brokers View Presentation	Speech
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
02/07/0302/07/03	Undertaking Risk Audits, presented at the NRS Advanced Compliance Training & Risk Management Techniques Conference, Washington, D.C. View Presentation	Speech
12/01/02December 2002	Deadline Looms as Questions Abound on New Broker-Dealer Recordkeeping Requirements, Wall Street Lawyer View Article	Article
11/20/0211/20/02	SEC Proposes Rules Addressing Circumstances When Banks Must Register As Brokers Or Dealers View LawFlash	Securities LawFlash
10/28/0210/28/02	Key Trading Issues Affecting Best Execution View Presentation	Speech
10/23/0210/23/02	SEC Regulation of Performance Advertising by Investment Advisers View Presentation	Speech
10/01/0210/01/02	Current Issues with Wrap Accounts, presented at the NSCP National Membership Meeting View Presentation	Speech
10/01/0210/01/02	Wrap Fee and Separately Managed Accounts View Presentation	Speech
09/11/0209/11/02	NASD Opens Door to Further Fairness Challenges, Complinet View Article	Article
08/01/02August 2002	Compliance Corner: Foreign Investing for U.S. Investment Advisers, ICAA Newsletter View Article	Article
06/01/02June 2002	Conducting Your Advisory Business on the Web: 10 Tips for Complying with SEC Requirements, Wall Street Lawyer, Vol. 6, No. 1 View Article	Article
05/01/0205/01/02	Managing Conflicts, presented at the NSCP 2002 East Coast Regional Membership Meeting, Boston View Presentation	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
05/01/02May/June 2002	SEC Provides Flexibility Within Safe Harbor for Soft Dollars, NSCP Currents View Article	Article
05/01/0205/01/02	Trading Practices and Compliance, presented at the Compliance Forum for Registered Investment Advisers and Hedge Fund Managers View Presentation	Speech
03/01/02March/April 2002	New SEC Guidance on Soft Dollars and Riskless Principal Trades, NSCP Currents View Article	Article
02/26/0202/26/02	Broker-Dealer AML Guidance Comes Together, Complinet	Article
02/26/0202/26/02	Understanding the Obligations of Brokers, presented at the Institute for International Research's 9th Annual Forum on Directed Brokerage & Soft Dollar Practices, New York View Presentation	Speech
02/01/02February 2002	Expanding Safe Harbors for Soft Dollars, Wall Street Lawyer, Vol. 5, No. 9 View Article	Article
11/09/0111/09/01	Overcoming Legal Challenges to eSignatures, Advanced E-Signature Solutions	Speech
11/07/0111/07/01	Analysis of SEC's New Changes to Broker Books and Records Rules, Complinet	Article
10/18/0110/18/01	The Search for Best Execution in Today's Market Environment, presented at the NSCP 2001 National Membership Meeting, Washington, D.C. View Presentation	Speech
09/01/01September 2001	What to do About Portals?, wallstreetlawyer.com	Article
07/24/0107/24/01	Understanding the Obligations of Brokers, presented at the Institute for International Research's Directed Brokerage & Soft Dollar Practices Forum, New York View Presentation	Speech
06/19/0106/19/01	Marketing Investment Advisory Services Through Third Parties, presented to National Regulatory Services, Puerto Rico View Presentation	Speech
06/18/0106/18/01	Marketing and Referral Arrangements From the Investment Adviser's Perspective View Presentation	Speech
11/14/0011/14/00	Advertising Online Investing: What is Permissible Now?, presented at the American Conference Institute's 4th National Conference on Securities Trading on the Internet, New York	Speech
10/31/0010/31/00	Soft Dollar Arrangements: The Broker-Dealer's Responsibility for Compliance, presented to the International Communications for Management Group's 4th Annual Prime Brokerage Conference, New York	Speech
04/19/0004/19/00	Proposed SEC Rule 202(a)(11)-1: Certain Broker-Dealers Deemed Not to be Investment Advisers, presented at the National Regulatory Services Spring 2000 Investment Advisor and Broker-Dealer Compliance Conference, Washington, D.C.	Speech
04/16/0004/16/00	Complex Issues Facing the Dual Registrant, presented at the NRS Sprint 2000 Compliance Conference, Miami View Presentation	Speech
02/20/0002/20/00	The Impact of the New SEC Electronic Media Release on Investment Advisers, ICAA Newsletter View Article	Article
07/01/9907/01/99	Intentionally "Defective" Grantor Trusts, presented to the Tax Study Group, Montgomery/Prince George's County, MD	Speech
01/26/9901/26/99	Broker-Sponsored Online Chat Rooms: Concerns and Best Practices, presented at the American Conference Institute, Conference on Securities Trading on the Internet, New York View Presentation	Speech
12/01/98December 1998	Responsibilities of Advisers in Class Actions, ICAA Newsletter View Article	Article
10/14/9810/14/98	Employee Trading - Implementing and Testing Company Policy, presented at the NRS West Coast Conference, Napa Valley, CA View Presentation	Speech
07/23/9707/23/97	The Regulation of Trading Errors Under the Investment Advisers Act of 1940 Anti-Fraud Provisions -- A Primer on Fiduciary Principles, presented at the Institute for International Research Investment Adviser Compliance Forum, New York	Speech
06/18/9706/18/97	SEC Regulation of Investment Adviser Advertising, presented at the Institute for International Research's 9th Annual Conference on Performance Measurement, New York	Speech
06/01/97June 1997	SEC Finalizes Rules Splitting Regulatory Turf Over Investment Advisors, Compliance Review	Article
05/23/9705/23/97	Basic Principles in Developing Compliance and Supervisory Procedures for Investment Advisers, presented at the National Regulatory Service, Inc. Conference: 'Basic Training for IA Compliance Professionals,' New York	Speech
03/01/97March 1997	Marketing and Referral Arrangements from the Investment Advisor's Perspective - Part 2, Compliance Review, Vol. 6, Issue 3	Article
02/01/97February 1997	Marketing And Referral Arrangements From the Investment Advisor's Perspective - Part 1, Compliance Review, Vol. 6, Issue 2	Article
12/12/9612/12/96	Disclosure of Mutual Fund Brokerage/Service Expense Offset and Soft Dollar Arrangements, presented at the Soft Dollar and Brokerage Conference, New York	Speech
04/24/9604/24/96	Marketing and Referral Arrangements From the Investment Adviser's Perspective, presented at the National Regulatory Services, Inc. Annual Compliance Conference for Investment Advisers and Broker-Dealers, Orlando	Speech
02/09/9602/09/96	Developing Written Compliance and Supervisory Procedures for Investment Advisers, presented at the National Regulatory Services, Inc., Compliance Basic Training for Investment Advisers Conference, New York	Speech
02/09/9602/09/96	State Regulatory Issues Affecting Investment Advisers, presented at the National Regulatory Services, Inc., Compliance Basic Training for Investment Advisers Conference, New York	Speech
10/03/9510/03/95	SEC Regulation of Performance Advertising By Investment Advisers, presented at the National Regulatory Services, Inc., 'Compliance Basic Training for Investment Advisers,' New York	Speech

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