Morgan Lewis

Investment Management and Securities Industry Publications of Interest

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Fast Facts

Serve as fund and/or adviser counsel to money managers with assets under management that total more than $25 trillion.

Serve as either fund and/or adviser counsel to all of the top 50 open end ETFs.

Represent 7 of the 10 largest money managers listed by Institutional Investor.

Represent over 200 broker-dealers, including more than half of the largest 100 U.S. securities firms listed by Institutional Investor.  

Represent over 500 mutual funds, venture capital, private equity, and hedge funds.

Team of more than 100 lawyers, more than 30 of whom joined us after distinguished careers at the SEC.

Related Events

07/16/08-07/18/08 Investment Company Regulation and Compliance Conference Boston
Thomas Harman and W. John McGuire, speakers
View all events

Related Publications

07/08/08 FSA Proposes Extension of UK Major Shareholder Notification Requirements to Equity Contracts for Differences (Including Equity Swaps and Other Equity Derivatives)
07/01/08 SEC Proposes Rule That Would Require Equity Index Annuities to Be Registered Securities
06/30/08 SEC Proposes Major Revisions to Rule 15a-6
View all publications

Related News

06/13/08 Chambers USA 2008 Recognizes Morgan Lewis in 19 National Practice Areas
Morgan Lewis is pleased to announce that the 2008 edition of Chambers USA: America’s Leading Lawyers for Business features Morgan Lewis as a leading national firm in 19 practice areas.
03/31/08 Morgan Lewis Boosts Cross-Border Capabilities with New Funds Partner in Paris
Morgan Lewis today announced the addition of Ann G. Baker—formerly the Paris head of the private equity fund formation practice at Debevoise & Plimpton—as a partner in its Business & Finance Practice, resident in the firm’s Paris office.
02/11/08 Lawyers Warn of Transatlantic Rule Change Trouble Ahead, Financial News
Rob Falkner is quoted on the rule change for US investors.
View all news
511 Publications Found
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07/08/08 FSA Proposes Extension of UK Major Shareholder Notification Requirements to Equity Contracts for Differences (Including Equity Swaps and Other Equity Derivatives)

LawFlash/Client Alert | Securities Industry FYI
Securities Industry Practice

In the light of responses to its 2007 consultation paper on the disclosure of Contracts for Differences (CP07/20), the United Kingdom’s Financial Services Authority (FSA) has decided to implement a general disc... more

07/01/08 SEC Proposes Rule That Would Require Equity Index Annuities to Be Registered Securities

LawFlash/Client Alert | Investment Management FYI
Investment Management Practice

The Securities and Exchange Commission (SEC) has proposed a rule which, if adopted, is expected to require all insurance companies issuing equity index annuities (EIAs) to register them as securities under the Securitie... more

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

LawFlash/Client Alert | Securities Industry FYI
Securities Industry Practice

The Securities and Exchange Commission (SEC) recently proposed substantial amendments to Rule 15a-6 under the Securities Exchange Act of 1934 (Exchange Act), which provides conditional exemptions from broker-de... more

06/20/08 Broker-Dealer Regulatory Update - As of June 19, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice

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

Presentation | Speech
Mark Fitterman, Beth Kiesewetter, Anne Flannery

06/13/08 Broker-Dealer Regulatory Update - As of June 12, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice

06/13/08 Interactive Data for Mutual Fund Risk/Return Summary

LawFlash/Client Alert | Investment Management FYI
Investment Management Practice

The U.S. Securities and Exchange Commission (SEC) recently proposed to require mutual funds to provide their risk/return summary information in interactive data format as an exhibit to their post-effective amen... more

06/06/08 Broker-Dealer Regulatory Update - As of June 5, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice

June 2008 Hedge Fund Side Letters: Compliance Issues, Policies, and Best Practices, Investment Adviser Association Newsletter

Outside Publications | Article
Thomas Harman, Dianne Sulzbach

05/30/08 Broker-Dealer Regulatory Update - As of May 29, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice

05/29/08 CFTC Authority Extended over Retail Forex and Energy Trading

LawFlash/Client Alert | Investment Management FYI
Investment Management

 

Recently, Congress enacted amendments to the Commodity Exchange Act (CEA) that grant the Commodity Futures Trading Commission (CFTC) extended authority to regulate over-the-counter foreign exchange (forex) tradin... more

05/23/08 Broker-Dealer Regulatory Update - As of May 22, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice

05/22/08 Seventh Circuit “Disapproves” of Gartenberg Factors

LawFlash/Client Alert | Investment Management FYI
Investment Management

The Seventh Circuit Court of Appeals recently cast some uncertainty over the long-standing factors that fund directors use to determine the proper level of an adviser’s fees as set forth in Gartenberg v. Merrill Lyn... more

05/16/08 Broker-Dealer Regulatory Update - As of May 15, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice

05/16/08 FINRA Issues Proposals on Rulebook Consolidation

LawFlash/Client Alert | Securities Industry FYI
Securities Industry

FINRA has issued four proposals to consolidate existing NASD and NYSE rules into a single rulebook. Comments on the proposals are due to FINRA by June 13, 2008. The proposals are preliminary—they still must be ... more

05/09/08 Broker-Dealer Regulatory Update - As of May 8, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice

05/06/08 SEC Fires Another Warning Shot Over Insider Trading Policies and Procedures

LawFlash/Client Alert | Securities LawFlash
Ben Indek

For well over a year, SEC enforcement and examination officials have emphasized the staff’s focus on insider trading, particularly by securities industry professionals. This focus has proceeded largely on two f... more

05/02/08 Broker-Dealer Regulatory Update - As of May 1, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice

May 2008 Outsourcing in the Securities Industry: Assessing the Regulatory Landscape, Wall Street Lawyer, Vol. 12, Issue 5

Outside Publications | Article
Theodore Lazo, John Ayanian

04/28/08 Investment Adviser Conflicts of Interest Disclosures, presented at the 2008 NSCP Midwest Regional Meeting, Chicago

Presentation | Speech
Jennifer Klass

04/28/08 Investment Management Brochure

Marketing Material | Brochure
Investment Management & Securities Industry Group

04/25/08 Broker-Dealer Regulatory Update - As of April 25, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice

04/18/08 Broker-Dealer Regulatory Update - As of April 17, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management

04/11/08 Broker-Dealer Regulatory Update - As of April 10, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management

04/10/08 Trading Conflicts of Interests, presented at the IMS National Conference: The Next Step in Compliance - The Integration of Operations & Business Management, New Orleans, LA

Presentation | Speech
Steven Stone

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