Morgan Lewis

Related Publications

08/02/11 SEC Adopts Large Trader Reporting System
04/29/10 SEC’s Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers
01/27/10 SEC Proposes Amendments to Issuer Repurchase Rule (Rule 10b-18)
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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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Mark D. Fitterman

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Washington, D.C.
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5019
Fax: 202.739.3001

17 Publications Found
Date Title Publication
08/02/1108/02/11 SEC Adopts Large Trader Reporting System

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Investment Management 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
01/27/1001/27/10 SEC Proposes Amendments to Issuer Repurchase Rule (Rule 10b-18)

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Investment Management FYI
03/18/0903/18/09 Back to Basics: FINRA Issues 2009 Examination Priorities

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Securities Industry FYI
03/05/0903/05/09 FINRA Proposes Significant Changes to Forms U4 and U5

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

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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
05/16/0805/16/08 FINRA Issues Proposals on Rulebook Consolidation

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Securities Industry FYI
03/18/0803/18/08 SEC Proposes “Naked” Short Selling Anti-Fraud Rule

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Securities Industry FYI
01/11/0801/11/08 FINRA Amends NYSE Rule 342.13: Eliminates Cut-Off Date for Recognition of Series 24

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Securities Industry FYI