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

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

LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Investment Management Practice

This FYI is an update of the FYI circulated by Morgan Lewis on October 17, 2008 reflecting additional informal guidance that we understand was provided by the SEC staff to the Managed Funds Association and other groups. To ensu... more

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

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

LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Investment Management Practice

As a follow-up to the emergency order it issued in September, the Securities and Exchange Commission (SEC) has issued an interim final rule requiring institutional investment managers to file Form SH to report their sho... more

LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Investment Management Practice

As a follow up to the emergency order it issued in September, the Securities and Exchange Commission (SEC) has issued interim final rules imposing close-out requirements on short sales. The new rules take effec... more

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

LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Business and Finance Practice

The Emergency Economic Stabilization Act of 2008 (the “Act”) was signed into law by President Bush on October 3, 2008. Passage of the Act was the result of intense debate in both the U.S. Senate and the U.S. Ho... more

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

Outside Publications | Article
Steven Stone, Monica Parry, Dianne Sulzbach

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

LawFlash/Client Alert | Securities Industry FYI
Investment Management and Securities Industry Practices

As the securities industry continues to wrestle with the emergency orders issued last week by the Securities and Exchange Commission (SEC), a number of interpretive questions have been raised. The SEC staff has... more

LawFlash/Client Alert | Securities Industry FYI
Investment Management and Securities Industry Practices

This FYI is an update of the FYI circulated by Morgan Lewis on Sunday, September 21, to reflect changes announced overnight by U.S. and foreign regulators. To ensure that our clients have the latest development... more

LawFlash/Client Alert | Securities Industry FYI
Investment Management and Securities Industry Practices

In the face of the current extraordinary market conditions, the Securities and Exchange Commission (SEC) has announced that it is exercising regulatory powers through the following temporary orders: (1) prohibi... more

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

LawFlash/Client Alert | Securities LawFlash
Litigation Practice

In the years following the passage of the Private Securities Litigation Reform Act of 1995 (PSLRA), plaintiffs have tried numerous approaches to satisfying the PSLRA’s stringent requirement to plead a “strong i... more

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

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

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

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

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

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

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

Marketing Material | Brochure
Investment Management & Securities Industry Group