Morgan Lewis

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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.
January 2012 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers
11/04/11 Securities Compliance and Examinations for Broker-Dealers, Advisors, and Funds, presented at the ALI-ABA Conference on Life Insurance Company Products, Washington, D.C.
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Related News

01/01/10 Law360 Names Morgan Lewis as a Top Securities Defense Firm for 2009
Law360 selected Morgan Lewis as one of five top securities defense firms of the year, citing the firm's capacity for combining counseling and transactional securities law with dispute litigation and enforcement.
06/29/09 Q&A With Morgan Lewis' Ben Indek, Law360
Ben Indek is interviewed, discussing the past, present, and future of his practice and securities law.
12/24/08 SEC Chief Defends His Restraint, Washington Post
Ben Indek comments on the SEC's actions against broker-dealers over the 2007 and 2008 fiscal years.
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Ben A. Indek

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New York
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6109
Fax: 212.309.6001

126 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
01/31/12January 2012 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers

pdf View Publication
White Paper
11/04/1111/04/11 Securities Compliance and Examinations for Broker-Dealers, Advisors, and Funds, presented at the ALI-ABA Conference on Life Insurance Company Products, Washington, D.C.

pdf View Outline
Speech
10/27/1110/27/11 Opening Remarks, presented at the 12th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law, New York

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Speech
10/18/1110/18/11 Regulatory Examinations (Large Firms), presented at the National Society of Compliance Professionals 2011 National Meeting, Baltimore, MD

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Speech
05/06/1105/06/11 The Evolving Role of the Compliance Officer, presented at the Futures Industry Association Law & Compliance Conference

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Speech
03/23/1103/23/11 U.S. Supreme Court: Manufacturer Can Be Sued for Failing to Disclose Adverse Reports

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Securities LawFlash
02/01/1102/01/11 Regulatory Risk Management at the NSCP - SEC Training Day, Washington, D.C.


 Speech
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
12/22/1012/22/10 SEC Enters Into First Nonprosecution Agreement as Part of Its New Cooperation Initiative

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Securities LawFlash
11/16/1011/16/10 Retail Brokerage and Advisory Issues, presented at the SIFMA Compliance and Legal Society 2010 Fall Compliance and Legal Seminar, New York

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Speech
11/02/1011/02/10 Enforcement Workshop, presented at the 2010 NSCP National Membership Meeting, Baltimore, Maryland

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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
06/07/1006/07/10 Dialogue with Area Regulators, presented at the NSCP East Coast Regional Membership Meeting

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Speech
05/06/1005/06/10 Conflicts Management, presented at the SIFMA Compliance and Legal Society 2010 Annual Seminar, National Harbor, Maryland

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Speech
02/25/1002/25/10 Enforcement Developments Regarding Broker-Dealers, Law360 Guest Column

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Article
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
01/26/10January 2010 The Securities and Exchange Commission Announces New Cooperation Initiative

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White Paper
11/18/0911/18/09 Retail Brokerage and Advisory Issues: New Products, New Problems?, presented at the SIFMA Compliance & Legal Division 2009 Fall Compliance Seminar, New York

pdf View Presentation
Speech
10/28/0910/28/09 Opening Remarks, presented at the 10th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities, and Financial Law, New York

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Speech
10/06/0910/06/09 Dealing with Regulatory Enforcement, 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
03/30/0903/30/09 Supervisory Responsibilities, presented at the NSCP East Coast Regional Conference, Boston

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Speech
03/23/0903/23/09 Regulatory Securities Examinations and Inquiries: The Firm’s Perspective, presented at the SIFMA Compliance and Legal Division 2009 Annual Seminar, Phoenix, AZ

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Speech
03/18/0903/18/09 Back to Basics: FINRA Issues 2009 Examination Priorities

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Securities Industry FYI
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