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04/17/13 SEC Issues Guidance on Social Media and Regulation FD
Public companies are encouraged to rigorously analyze SEC guidance prior to disseminating material information via social media.
04/16/13 Deadline Approaches for Amending Compensation Committee Charters
Companies must comply with certain final NYSE and NASDAQ listing rules by July 1.
02/27/13 The SEC Speaks: Enforcement Panel Discusses 2013 Priorities and Past Successes
Changing SEC leadership defines its priorities for a new era of SEC enforcement.
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02/20/13 GCs Name 24 Top White Collar, Securities Attys, Law360
Litigation partner Marc J. Sonnenfeld is quoted.
01/07/13 Securities Group of the Year: Morgan Lewis, Law360
Law360 lists Morgan Lewis's Securities Industry Practice as one of its Securities Groups of the Year for 2012.
01/02/13 Leading Equity Derivatives and Sales and Trading Lawyer Joins Morgan Lewis
Morgan Lewis announces that Will Iwaschuk has joined the firm as a partner in its Investment Management and Securities Industry practice, resident in the New York office.
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442 Publications Found
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04/17/13 SEC Issues Guidance on Social Media and Regulation FD

LawFlash/Client Alert | Securities LawFlash
Gail Pierce, Linda Griggs

Public companies are encouraged to rigorously analyze SEC guidance prior to disseminating material information via social media.

04/16/13 Deadline Approaches for Amending Compensation Committee Charters

LawFlash/Client Alert | Securities LawFlash
Stephen Farrell

Companies must comply with certain final NYSE and NASDAQ listing rules by July 1.

02/27/13 The SEC Speaks: Enforcement Panel Discusses 2013 Priorities and Past Successes

LawFlash/Client Alert | Securities LawFlash
E. Andrew Southerling, Benjamin Klein

Changing SEC leadership defines its priorities for a new era of SEC enforcement.

02/26/13 Virtual Asset Management Roundtable Series: SEC Enforcement 2012 Year In Review

Presentation | Webinar
Richard Morris, Joshua Blackman, Ivan Harris, Jennifer Klass, Thomas Linthorst

Morgan Lewis's Investment Management Practice presented this timely discussion of key developments in the SEC's enforcement program, including a summary of important cases against investment advisers, private fund advisers, and... more

02/11/13 CFTC Provides Family Offices with Certainty and Fund of Fund’s with a Temporary Reprieve, BNA's Securities Regulation & Law Report

Outside Publication | Article
Michael Piracci, Dana Westfall, Michael Philipp

A detailed explanation of the Commodity Futures Trading Commission's (CFTC's) Division of Swap Dealer and Intermediary Oversight's (DSIO) no-action letters providing relief from Commodity Pool Operator (CPO) registration for family offices and fund of funds operators.

02/07/13 Select SEC and FINRA Cases and Developments: 2012 Year in Review

LawFlash/Client Alert | Securities LawFlash
Richard Morris, Jennifer Klass, Mary Dunbar, Ivan Harris, Ben Indek, Anne Flannery

In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations—with cases against broker-dealers, investment advisers, and investment companies accounting for 38% of the SEC enforcement docket and FINRA bringing a record number of enforcement actions against its member firms and associated persons.

February 2013 Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review

Morgan Lewis Title | White Paper
James Doench, Richard Morris, Katherine Milgram, Kaitlyn Piper, Jennifer Klass, Namita Mani, Kimberly Hicks, Julia Miller, Heather Hopkins, Anne Flannery, Lindsay Jackson, Katarzyna Mularczyk, Ivan Harris, Julie Marcacci, Todd Smith, Joshua Blackman, Kerry Land, Mary Dunbar, Nicholas Losurdo, John Matthews, David Behar, F. Mindy Lo, Zachary Vonnegut-Gabovitch, Ben Indek

This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during 2012. ... more

02/05/13 SEC Approves Final NYSE and NASDAQ Compensation Committee Rules

LawFlash/Client Alert | Securities LawFlash
Albert Lung, Linda Griggs, David Sirignano

Companies are required to comply with certain of the new listing standards relating to compensation adviser independence by July 1, 2013.

01/22/13 SEC Reporting for Certain 2012 Iran-Related Transactions

LawFlash/Client Alert | International Trade and Economic Sanctions LawFlash
Margaret Gatti, Louis Rothberg, Linda Griggs, Timothy Rolland

Mandatory requirements cover actions of issuers' foreign subsidiaries and affiliates.

12/28/12 SEC Permits Portfolio Margining of Credit Default Swaps

LawFlash/Client Alert | Investment Management LawFlash
Mark Fitterman, Dana Westfall, Ignacio Sandoval, Robert Mendelson, P. Georgia Bullitt, Michael Philipp, Michael Piracci

Order grants exemptive relief from Exchange Act requirements; parallel CFTC relief expected soon.

10/31/12 NYSE and NASDAQ Proposed Compensation Committee and Advisers Independence Rules

LawFlash/Client Alert | Securities LawFlash
Amy Pandit, Albert Lung, David Sirignano

New listing standards to require additional independence criteria for compensation committee members and assessment of independence of compensation advisers.

09/28/12 A Year Under SEC Bulletin No. 19

LawFlash/Client Alert | Tax LawFlash
Paul Gordon, Richard Zarin, George Yearsich, Casey August, Stephen Farrell, Kenneth Kail, William Zimmerman, Linda Griggs, David Sirignano

Changes in tax opinion standards have altered how tax counsel should be implemented in complex securities offerings.

09/19/12 SEC Adopts Payment Disclosure Rules for Resource Extraction Issuers

LawFlash/Client Alert | Securities LawFlash
Amy Pandit, David Sirignano

Most public issuers engaged in the commercial development of oil, natural gas, or minerals must disclose certain payments made to U.S. federal and foreign governments and should implement systems to track these payments.

09/10/12 SEC Proposes to Permit General Solicitation in Private Offerings

LawFlash/Client Alert | Securities LawFlash
Alan Singer

Proposed rule amendments permit general solicitation and general advertising in Rule 506 and Rule 144A offerings but raise challenges for verification of accredited investor status of Rule 506 purchasers.

September 2012 SEC Adopts Rules Implementing the Dodd-Frank Requirement for Conflict Minerals Reporting

Morgan Lewis Title | White Paper
Linda Griggs

On August 22, 2012, the Securities and Exchange Commission (the SEC) adopted annual disclosure requirements that implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which requires... more

06/27/12 Jumpstart Our Business Startups Act: A Comprehensive Overview — distributed at the “Look Before You Leap! Jumpstart Our Business Startups (JOBS) Act Event” Hosted by Morgan Lewis, Morgan Stanley, and Ernst & Young

Presentation | Speech
Alan Singer

06/08/12 Russian Parliament Passes Temporary Withholding Tax Exemption for Eurobonds

LawFlash/Client Alert | Capital Markets LawFlash
Vasilisa Strizh, Carter Brod, Roman Dashko

Amendments are more favorable to borrowers than those recently proposed by the Ministry of Finance, but they provide an exemption only for bonds issued before 1 January 2014.

06/07/12 Russian Federation, PLC's Capital Markets Multi-Jurisdictional Guide 2012/13

Outside Publication | Chapter
Vasilisa Strizh, Carter Brod, Roman Dashko

04/13/12 Update on Amendments to the EU Prospectus Directive

LawFlash/Client Alert | Business and Finance LawFlash
Jan Klumb, Ann Baker, Rima Maîtrehenry, Ethan Johnson, Torsten Schwarze, William Yonge, Rebecca Leon

Long-awaited amendments to the EU regime governing public offers of securities take effect on 1 July 2012.

April 2012 Corporate Spending Post-Citizens United Decision Comes under Attack

LawFlash/Client Alert | Cross-Practice Alert
Timothy Lynch, Linda Griggs

The Supreme Court decision in Citizens United v. Federal Election Commission , 558 U.S. —, 130 S.Ct. 876 (2010), lifted long-standing limits on corporate and labor union political spending. Prior to Citizens United , ... more

03/30/12 Congress Passes the JOBS Act to Simplify Capital Formation

LawFlash/Client Alert | Securities LawFlash
Gail Pierce, Linda Griggs, David Sirignano

Legislation exempts emerging growth companies from certain financial disclosure and governance requirements for up to five years and provides a new form of financing to small companies.

03/06/12 Compliance Department Responsibilities, Arbitration Trends and Current FINRA Examination Issues, presented at the FINRA New York Regional Office Training Session, New York

Presentation | Speech
Ben Indek

02/21/12 The Irredeemable Relevance Of SEC Enforcement Action, Law360

Outside Publication | Article
Stephen Kinney, Jr., Thomas Giblin, Jr.

02/16/12 Session IX: Developments in Asset Management, presented at the International Business & Finance Summit 2012 (IBFS)

Presentation | Speech
Rebecca Leon

On February 3, 2012, Morgan Lewis of counsel Rebecca Leon presented on a panel entitled "Session IX: Developments in Asset Management" at the International Business & Finance Summit (IBFS) at the Abaco Beach Resort at Boat ... more

02/13/12 2011 Year in Review: Selected Federal Securities Litigation Developments

Morgan Lewis Title | White Paper
Anthony Fassano, Laura Hughes, Nicholas Schretzman, John Vassos, Brian Herman, Karen Pohlmann

Morgan Lewis is pleased to present our fourth annual review of selected decisions from the U.S. Courts of Appeal addressing private actions under the federal securities laws. We summarize below key decisions analyzing claims... more

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