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02/01/12 Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review
In 2011, the SEC and FINRA continued their vigorous enforcement of the securities laws, resulting in an increase in enforcement cases brought against broker-dealers, with a 60% increase in such SEC enforcement actions and a 13.5% increase in FINRA disciplinary actions since 2010.
01/31/12 2011 Year in Review: Asset Management Roundtable
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January 2012 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers
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12/05/05 Partner Anne C. Flannery Returns to Morgan Lewis
Anne C. Flannery, most recently First Vice President and General Counsel for Global Regulatory Affairs with Merrill Lynch, has returned as a partner in the firm’s New York office.
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Anne C. Flannery

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New York, NY 10178-0060
Phone: 212.309.6370
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54 Publications Found
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Date Title Publication
02/01/1202/01/12 Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review

pdf View LawFlash
Securities LawFlash
01/31/1201/31/12 2011 Year in Review: Asset Management Roundtable

pdf View Presentation
Speech
01/31/12January 2012 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers

pdf View Publication
White Paper
01/18/1201/18/12 Compliance Officer Liability, presented to the SRO Subcommittee of the ABA Securities Litigation Committee

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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

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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

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White Paper
02/17/1102/17/11 SEC and FINRA 2010 Year in Review

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Webinar
01/26/11January 2011 2010 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

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White Paper
09/29/1009/29/10 Compliance Roundtable Seminar

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Speech
08/06/10August 2010 2010 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

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White Paper
05/06/1005/06/10 Understanding Control Risks, presented at the SIFMA Compliance & Legal Society 2010 Annual Seminar, Washington, D.C.

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pdf View Outline
Speech
01/28/10January 2010 2009 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

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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

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Speech
10/07/0910/07/09 The Compliance Officer Self-Protection Plan, presented at the NSCP National Membership Meeting, Philadelphia

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Speech
07/31/09July 2009 2009 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

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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

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Speech
06/12/0906/12/09 Conducting Internal Investigations, presented for the FINRA Institute at Wharton Business School, Philadelphia

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Speech
02/05/0902/05/09 2008 SEC and SRO Enforcement Year in Review, Complinet

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Article
01/21/09January 2009 2008 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

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White Paper
08/15/08August 2008 U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments

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White Paper
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
06/18/0806/18/08 The New Examination Process: How to Be Prepared, presented at the BISA Conference, Washington, D.C.

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Speech
02/01/08January/February 2008 2007 Year In Review: SEC and SRO Enforcement Cases and Developments Regarding Broker-Dealers, NSCP Currents

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Article
01/18/08January 2008 2007 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

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White Paper
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