Steven W. Stone

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

202 Publications Found

page 1 of 9

Date	Title	Publication
01/31/1201/31/12	2011 Year in Review: Asset Management Roundtable View Presentation	Speech
12/06/1112/06/11	DOL Calls into Question Whether Boilerplate Indemnification Language in an IRA Brokerage Agreement Constitutes a Nonexempt Prohibited Transaction View LawFlash	Employee Benefits and Investment Management LawFlash
10/19/1110/19/11	New York GIPS Expert Series – CCO’s Survival Guide to GIPS Compliance, presented at the Harvard Club of New York	Speech
09/19/1109/19/11	Wrap Fee Programs, presented for an OCIE Training Session View Presentation	Speech
08/02/1108/02/11	SEC Adopts Large Trader Reporting System View LawFlash	Investment Management LawFlash
05/17/1105/17/11	The Evolving Role of the CCO in a New Era of Regulation, presented at NRS Education's 26th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference, Miami View Presentation	Speech
03/28/1103/28/11	SEC Staff Issues Guidance on “Pay-to-Play” Rule View LawFlash	Investment Management and Private Investment Funds LawFlash
03/17/11March 2011	Analysis of the SEC Staff’s Study: SEC Responds to Congress on a Uniform Fiduciary Standard for Investment Advisers and Broker-Dealers, Wall Street Lawyer View Article	Article
03/04/1103/04/11	The New Adviser Disclosure Framework presented at the ALI-ABA Investment Adviser Regulation Conference View Presentation	Speech
02/17/1102/17/11	How Will Regulatory Change Affect the Positioning of Managed Solutions? presented at the MMI 2011 Sales & Marketing Leadership Summit View Presentation	Speech
02/09/1102/09/11	How will Regulatory Change Affect the Positioning of Managed Solutions?, presented at the MMI ERISA Leadership Summit, Orlando, FL	Speech
01/28/1101/28/11	Analysis of the SEC Staff’s Study on Investment Advisers and Broker-Dealers View LawFlash	Investment Management FYI
11/16/1011/16/10	Rule 206-4(2) Custody Webinar View Presentation	Speech
11/03/1011/03/10	Dual Registrant Issues, presented at the 2010 NSCP National Meeting View Presentation View Agenda	Speech
11/01/1011/01/10	New SEC Brochure Highlights Professional Designations (read the paper)	White Paper
09/27/1009/27/10	Policy Considerations of Trade Errors, presented at the Ascendant Compliance Management Conference, Washington, D.C. View Presentation
09/01/1009/01/10	SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure View LawFlash	Investment Management FYI
07/09/1007/09/10	SEC Adopts Pay-to-Play Rule Under Investment Advisers Act 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 View Presentation	Speech
05/25/1005/25/10	What To Do When The SEC Examiner Calls, presented at an Investment News Webcast View Presentation	Speech
05/24/1005/24/10	Impact of Senate Financial Reform Bill on Retail Brokerage and Private Client Services 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 View LawFlash	Investment Management FYI

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Steven W. Stone