Securities Industry Publications of Interest

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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.

09/14/07 141 Morgan Lewis Lawyers Receive The Best Lawyers in America (2008)

141 Morgan Lewis lawyers have been recognized in The Best Lawyers in America 2008.

09/12/07 Morgan Lewis Receives MCCA’s Sager Award for the Western Region

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255 Publications Found

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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 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

05/16/08 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 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

April 2008 Amendments Increase Attractiveness of Rule 701

White Paper | Morgan Lewis White Paper
Business and Finance

The Securities and Exchange Commission has recently adopted two rule amendments that will expand the ability of foreign private issuers that are not U.S. reporting companies to provide stock-based compensation ... more

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

03/31/08 Broker-Dealer Regulatory Update - As of March 27, 2008

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

03/21/08 Broker-Dealer Regulatory Update - As of March 20, 2008

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

03/18/08 SEC Proposes “Naked” Short Selling Anti-Fraud Rule

LawFlash/Client Alert | Securities Industry FYI
Securities Industry

On March 17, the U.S. Securities and Exchange Commission (SEC) issued its formal proposal to adopt an anti-fraud rule under the Securities Exchange Act of 1934 (Exchange Act). The rule would address failures to... more

03/07/08 Broker-Dealer Regulatory Update - As of March 6, 2008

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

02/22/08 Broker-Dealer Regulatory Update - As of February 21, 2008

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

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