Morgan Lewis

Related Publications

11/01/11 Implications of MF Global Inc. SIPC Proceeding for Counterparties and Market Participants
08/02/11 SEC Adopts Large Trader Reporting System
12/02/10 Working with Expert Consultants: Procedures for Controlling Material Non-Public Information (MNPI)
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Related News

02/13/09 Morgan Lewis Represents Jefferies in Acquisition of Depfa First Albany
Jefferies Group, Inc. today announced that it has entered into a definitive agreement with Depfa Bank plc to acquire Depfa First Albany Securities LLC.
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Robert C. Mendelson

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

29 Publications Found
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Date Title Publication
11/01/1111/01/11 Implications of MF Global Inc. SIPC Proceeding for Counterparties and Market Participants

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Investment Management and Restructuring LawFlash
08/02/1108/02/11 SEC Adopts Large Trader Reporting System

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Investment Management LawFlash
12/02/1012/02/10 Working with Expert Consultants: Procedures for Controlling Material Non-Public Information (MNPI)

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Webinar
06/14/1006/14/10 Systemic Risk Regulation: The Missing Link?

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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

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Investment Management FYI
08/10/0908/10/09 SEC Announces Actions on Short Sales

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Securities Industry 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

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Investment Management LawFlash
10/17/0810/17/08 SEC Adopts Interim Reporting Requirement for Short Sales

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Investment Management LawFlash
10/16/0810/16/08 SEC Adopts Interim Close-Out Requirements for Short Sales

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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

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Securities Industry FYI
09/22/0809/22/08 UPDATED as of 12:00 p.m. - SEC Emergency Orders: Implications for Buyside and Sellside Firms

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Securities Industry FYI
09/21/0809/21/08 SEC Emergency Orders: Implications for Buyside and Sellside Firms

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Securities Industry FYI
09/09/0809/09/08 Implications of U.S. Government’s Takeover of Fannie Mae and Freddie Mac

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Investment Management FYI
07/17/0807/17/08 SEC Issues Emergency Order to Deter Uncovered Short Sales in Certain Financial Institutions

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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)

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Securities Industry FYI
06/30/0806/30/08 SEC Proposes Major Revisions to Rule 15a-6

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Securities Industry FYI
05/29/0805/29/08 CFTC Authority Extended over Retail Forex and Energy Trading

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Investment Management FYI
05/16/0805/16/08 FINRA Issues Proposals on Rulebook Consolidation

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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

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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

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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
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