Morgan Lewis

Broker-Dealers Publications of Interest

Related Publications

08/29/08 Broker-Dealer Regulatory Update - As of August 28, 2008
(pdf)
08/22/08 Broker-Dealer Regulatory Update - As of August 21, 2008
(pdf)
08/15/08 Broker-Dealer Regulatory Update - As of August 14, 2008
(pdf)
View all publications

Related News

12/05/05 Partner Anne C. Flannery Returns to Morgan Lewis
Anne C. Flannery, most recently First Vice President and General Counsel for Global Regulatory Affairs with Merrill Lynch, has returned as a partner in the firm’s New York office.
View all news
202 Publications Found
page 1 of 11
08/29/08 Broker-Dealer Regulatory Update - As of August 28, 2008

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

08/22/08 Broker-Dealer Regulatory Update - As of August 21, 2008

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

08/15/08 Broker-Dealer Regulatory Update - As of August 14, 2008

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

August 2008 U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments

White Paper | Morgan Lewis White Paper
Kurt Rademacher, Ben Indek, Anne Flannery, Michael Kraut, Bonnie Altro, Kerry Land

This outline highlights selected U.S. Securities and Exchange Commission ("SEC" or the "Commission"), Financial Industry Regulatory Authority ("FINRA"), and NYSE Regulation enforcement actions and developments regarding... more

08/08/08 Broker-Dealer Regulatory Update - As of August 7, 2008

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

08/01/08 Broker-Dealer Regulatory Update - As of July 31, 2008

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

07/30/08 Investment Management Brochure

Marketing Material | Brochure
Investment Management & Securities Industry Group

07/25/08 Broker-Dealer Regulatory Update - As of July 24, 2008

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

07/18/08 Broker-Dealer Regulatory Update - As of July 17, 2008

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

07/15/08 Broker-Dealer Regulatory Update - As of July 11, 2008

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

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

06/25/08 National Financial Risk and Regulatory Client Webinar: Proposed Regulation S-P Amendments

Presentation | Webcast
Shauna Sappington, Mark Matthews, Steven Stone

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

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

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 New York High Court Rules that Commission Formulas Can Include Deductions for Business Expenses

LawFlash/Client Alert | Labor and Employment LawFlash
Labor and Employment Practice

On June 10, the New York Court of Appeals issued a decision in Pachter v. Bernard Hodes Group, Inc. explaining that although executives are employees covered by New York’s Wage Payment Law, adjustments... more

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

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

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

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

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

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

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

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

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

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

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

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

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

04/07/08 Broker-Dealer Regulatory Update - As of April 3, 2008

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

page 1 of 11