Morgan Lewis

Related Publications

09/01/10 SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure
07/09/10 SEC Adopts Pay-to-Play Rule Under Investment Advisers Act
06/03/10 Soft Dollar Arrangements: Commission Sharing vs. Traditional Soft Dollar Arrangements & Other Current Issues, presented at an Investment Adviser Association Webcast
(pdf)
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Related Events

09/26/10-09/28/10 Ascendant Compliance Management Conference Washington, D.C.
10/04/10 SEC Asset Management Unit Training Webinar
11/01/10-11/03/10 2010 NSCP National Meeting Baltimore, MD
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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.
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Photo of Steven W. Stone

Practice Areas

Honors + Affiliations

Listed, Chambers USA: America's Leading Lawyers for Business (2005–2010)

Listed, Investment Fund Formation and Management: Mutual Funds in The US Legal 500 (2009–2010)

Listed, "Guide to the World's Leading Investment Funds Lawyers," International Financial Law Review/Expert Guides (2008)

Listed, Washington, D.C. Super Lawyers (2008)

Member, American Bar Association, Business Law Section

Editorial Board Member, Practical Compliance & Risk Management

Advisory Board Member, Wall Street Lawyer & Journal of Performance Measurement

Former Managing Editor, The George Washington Law Review

Former Associate Editor, Consumer Protection Reporting Service

Bar Admissions

  • District of Columbia
  • Pennsylvania
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Steven W. Stone Partner

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Washington, D.C.
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5453
Fax: 202.739.3001

186 Publications Found
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Date Title Publication
09/01/1009/01/10 SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure

pdf View LawFlash
Investment Management FYI
07/09/1007/09/10 SEC Adopts Pay-to-Play Rule Under Investment Advisers Act

pdf View LawFlash
Investment Management and Private Investment Funds LawFlash
06/03/1006/03/10 Soft Dollar Arrangements: Commission Sharing vs. Traditional Soft Dollar Arrangements & Other Current Issues, presented at an Investment Adviser Association Webcast

pdf View Presentation
Speech
05/25/1005/25/10 What To Do When The SEC Examiner Calls, presented at an Investment News Webcast

pdf View Presentation
Speech
05/24/1005/24/10 Impact of Senate Financial Reform Bill on Retail Brokerage and Private Client Services

pdf View LawFlash
Financial Regulatory Reform LawFlash
05/20/1005/20/10 Regulatory Change for Our Managed Solutions Sector, presented at Money Management Institute 2010 Annual Convention, New York


 Speech
05/12/1005/12/10 Commissions Management: The Consortium, presented at the TraderForum 2010 Annual Conference, Chicago


 Speech
05/07/1005/07/10 Mutual Funds, Broker Dealers, and Investment Advisers: Risks and Approaches to a Changing Market Place, presented at the 42nd Annual Rocky Mountain Securities Conference, Denver, CO


 Speech
04/29/1004/29/10 SEC’s Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers

pdf View LawFlash
Investment Management FYI
04/22/1004/22/10 Preparing for Regulatory Change in Private Client Services, presented at the SIFMA Private Client Conference, New York

pdf View Presentation
Speech
03/30/1003/30/10 Understanding the New Requirements Affecting RIAs, presented at a Rule 206-4(2) Custody Webinar

pdf View Presentation
Speech
03/14/1003/14/10 The Changing Landscape for Trading and Market Structure, presented at 2010 Mutual Funds and Investment Management Conference, Phoenix, AZ

pdf View Presentation
Speech
03/10/1003/10/10 Critical Elements of Commission Sharing Arrangements & Soft Dollars, presented at the Ascendant Investment Adviser Compliance Conference, Santa Monica, CA

pdf View Presentation
Speech
03/10/1003/10/10 Insider Trading: Creating a Safe Environment (SEC Top Risk), presented at the Ascendant Investment Adviser Compliance Conference, Santa Monica, CA

pdf View Presentation
Speech
02/25/1002/25/10 Current Soft Dollar Issues, presented at the IAA/ACA Investment Adviser Compliance Forum, Arlington, VA

pdf View Presentation
Speech
01/07/1001/07/10 Social Networking in the Securities Context, presented as an ALI-ABA Webinar


 Speech
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

pdf View Presentation
Speech
10/07/0910/07/09 Commission Sharing Agreements vs. Traditional Soft Dollar Agreements: What Has Changed?, presented at the NSCP National Membership Meeting, Workshop Session X(c)IA, Philadelphia

pdf View Presentation
pdf View Outline
Speech
09/23/0909/23/09 Preparing for an SEC Exam, presented at GIPS Standards Annual Conference 2009, Boston

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Speech
09/22/0909/22/09 Performance Advertising 101: Regulatory Do's and Don'ts, presented at GIPS Standards Annual Conference 2009, Boston

pdf View Presentation
Speech
09/21/0909/21/09 Investment Advisers: The Changing Regulatory Landscape, presented at an ALI-ABA Conference


 Speech
09/17/0909/17/09 Investment Advice Issues, presented at the SIFMA Annual Savings and Retirement Conference 2009, Washington, D.C.


 Speech
08/07/0908/07/09 Proposed Rule under Investment Advisers Act Would Limit “Pay to Play” Practices

pdf View LawFlash
Private Investment Funds LawFlash
07/17/0907/17/09 Legislation Proposed by U.S. Treasury Would Require Private Fund Advisers to Register with the SEC

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Investment Management FYI
07/15/0907/15/09 Cross-Border Webcast for the Financial Services Sector

pdf View Presentation
Webcast
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