| Date |
Title |
Publication |
| 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 |
| 09/20/1109/20/11 |
Issues for Broker-Dealers acting as APs or LMMs for ETFs, presented for Morgan Lewis's ETF Breakfast Roundtable, Session I
View Presentation
|
Speech |
| 09/04/11August 2011 |
Broker-Dealers Will Shoulder Bulk of Responsibility under SEC’s New “Large Trader” Reporting System, Wall Street Lawyer
View Article
|
Article |
| 09/02/1109/02/11 |
SEC Concept Release Requests Industry Comments on Funds’ Use of Derivatives
View LawFlash
|
Investment Management LawFlash |
| 08/02/1108/02/11 |
SEC Adopts Large Trader Reporting System
View LawFlash
|
Investment Management LawFlash |
| 06/08/1106/08/11 |
Time Running Out on Retail Currency Business for SEC-Registered Broker-Dealers
View LawFlash
|
Investment Management LawFlash |
| 04/19/1104/19/11 |
ETFs 360° - Formation, Regulation and Trading
View Presentation
|
Speech |
| 09/20/1009/20/10 |
CFTC Requests Comment on NFA Petition to Restrict Exclusions from Commodity Pool Operator Definition
View LawFlash
|
Investment Management LawFlash |
| 08/19/1008/19/10 |
NFA Revises Petition to Restrict Exclusions from Commodity Pool Operator Definition
View LawFlash
|
Investment Management LawFlash |
| 08/01/10August 2010/October 2010 |
Legal Considerations for Registered Investment Companies Investing in Derivatives, Investment Lawyer, Vol. 17, Nos. 8 & 10
View Article
|
Article |
| 07/01/1007/01/10 |
NFA Petitions the CFTC to Restrict Exclusions from the Commodity Pool Operator Definition for Investment Companies
View LawFlash
|
Investment Management LawFlash |
| 06/29/1006/29/10 |
Financial Regulatory Reform Heads Down the Homestretch
View LawFlash
|
Financial Regulatory Reform 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 |
| 05/15/0905/15/09 |
SEC Proposes Strengthening of Advisers Act Custody Rule
View LawFlash
|
Investment Management FYI |
| 04/22/0904/22/09 |
Eleven Steps for Addressing Treasury Fail Penalties
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|
Investment Management FYI |
| 11/11/0811/11/08 |
SEC Adopts Interim Reporting Requirement for Short Sales
View LawFlash
|
Investment Management LawFlash |
| 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 |
| 10/17/0810/17/08 |
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 |
| 07/22/0807/22/08 |
SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule
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 |
