Morgan Lewis

Securities Industry Publications of Interest

Update - December 1, 2008

Financial Crisis Impact and Analysis

Hedge Fund Deskbook

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Related Events

12/15/08 ICI Education Foundation's 2008 Securities Law Developments Conference Washington, D.C.
Steven Stone, panelist, "Recent Events in the Credit Markets: Impact on Portfolio Trading"
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Related Publications

11/21/08 Broker-Dealer Regulatory Update - As of November 20, 2008
(pdf)
11/14/08 Current Topics for Investment Advisers, presented at the First Clearing Correspondent Services Compliance Roundtable, Washington, D.C.
(pdf)
11/14/08 Broker-Dealer Regulatory Update - As of November 13, 2008
(pdf)
View all publications

Related News

11/10/08 Energy Transactions Group from Thelen Joins Morgan Lewis in New York
Solidifying its position as a full-service legal resource for the utilities industry, Morgan Lewis today announced the addition of 17 energy transactional attorneys to its Business and Finance Practice in New York.
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.
View all news
294 Publications Found
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11/21/08 Broker-Dealer Regulatory Update - As of November 20, 2008

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

11/14/08 Broker-Dealer Regulatory Update - As of November 13, 2008

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

11/14/08 Current Topics for Investment Advisers, presented at the First Clearing Correspondent Services Compliance Roundtable, Washington, D.C.

Presentation | Speech
John Ayanian, Jennifer Klass

11/11/08 SEC Adopts Interim Reporting Requirement for Short Sales

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

11/06/08 Tracker Impact Analysis: SEC Fines LPL Financial Corporation for Regulation S-P Violations, Complinet

Outside Publications | Article
Ben Indek, Michael Kraut, Namita Mani

10/31/08 Broker-Dealer Regulatory Update - As of October 30, 2008

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

10/27/08 The War on Rumors at the SEC and CFTC, Securities Regulation and Law, Vol. 40, No. 42

Outside Publications | Article
Christian Mixter

10/17/08 Broker-Dealer Regulatory Update - As of October 16, 2008

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

10/17/08 SEC Adopts Interim Reporting Requirement for Short Sales

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

10/16/08 SEC Adopts Interim Close-Out Requirements for Short Sales

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

October 2008 Form ADV Part 2 and Regulation S-P, presented at the Investment Adviser Association Annual Compliance Workshop, Los Angeles; San Francisco; New York

Presentation | Speech
Jennifer Klass

10/15/08 SEC Lifts the Veil on Its Enforcement Process by Publishing Enforcement Manual

LawFlash/Client Alert | Securities LawFlash
Ivan Harris, Ben Indek, Christian Mixter

In an effort to make its processes more transparent, last week the SEC made public its Division of Enforcement Manual. Substantial sections of the 122-page manual will be familiar to veterans of the Division of... more

10/13/08 Broker-Dealer Regulatory Update - As of October 9, 2008

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

10/05/08 The Emergency Economic Stabilization Act of 2008: Impact of the Historic New Law

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

10/03/08 Broker-Dealer Regulatory Update - As of October 2, 2008

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

November 2008 SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule, Derivatives Financial Products Report

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

October 2008 SEC Interpretive Guidance on Web Site Disclosure, Insights: The Corporate and Securities Law Advisor, Vol. 22, No. 10

Outside Publications | Article
Justin Chairman, Alan Singer

09/26/08 Broker-Dealer Regulatory Update - As of September 25, 2008

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

09/25/08 SEC Staff Provides Guidance on Short Sale Emergency Orders: Supplement to FYIs of September 21 and 22, 2008

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

October 2008 Strategic Planning Considerations for Companies that Don't Want to Be Investment Companies, ACC Docket

Outside Publications | Article
Monica Parry

09/22/08 UPDATED as of 12:00 p.m. - SEC Emergency Orders: Implications for Buyside and Sellside Firms

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

09/21/08 SEC Emergency Orders: Implications for Buyside and Sellside Firms

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

09/15/08 Corporate Governance: An Overview of Public Company Requirements (updated)

White Paper | Morgan Lewis White Paper
Stephen Farrell

The Sarbanes-Oxley Act of 2002 has had a dramatic effect on public companies. Sarbanes-Oxley, which became law on July 30, 2002, was the first comprehensive federal legislation to impose significant corporate g... more

09/12/08 Broker-Dealer Regulatory Update - As of September 11, 2008

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

09/12/08 Filing Deadline for Annual Reports on Form 20-F Accelerated to 120th Day After Fiscal Year End

LawFlash/Client Alert | Securities LawFlash
Business and Finance Practice

On August 27, the U.S. Securities and Exchange Commission (SEC) adopted a number of rule amendments intended to update and enhance disclosure and filing requirements applicable to foreign issuers, including, mo... more

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