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Morgan Lewis Title | White Paper
E. Andrew Southerling, Shaina Stahl, Casey Cohen, Ben Indek, Julia Miller, Charles Manice, David Snider, Anne Flannery, Katarzyna Mularczyk, John Matthews, Kevin Rover, Julie Marcacci, Todd Smith, Ivan Harris, Kerry Land, Mary Dunbar, Nicholas Losurdo, Rahul Rao
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 2011. ... more
LawFlash/Client Alert | Securities LawFlash
Securities Practice
Below are planning reminders for foreign private issuers of the earlier Annual Report on Form 20-F filing deadline and the requirement to provide financial statement information in interactive data format using the eXtensible Bu... more
LawFlash/Client Alert | Investment Management and Restructuring LawFlash
Joshua Blackman, Robert Mendelson
On October 31, the Securities Investor Protection Corporation (SIPC) filed for a protective order under the Securities Investor Protection Act (SIPA) for MF Global Inc., a company registered jointly as an Securities and Exchange... more
Outside Publication | Article
R. Dawson, Sheryl Orr
LawFlash/Client Alert | Securities LawFlash
Securities Practice
On June 13, in an important victory for the investment management industry, the U.S. Supreme Court held that mutual fund adviser Janus Capital Management LLC (JCM) and its parent, Janus Capital Group, Inc. (JCG), could not be he... more
LawFlash/Client Alert | Securities LawFlash
Jason Wilson, Ben Indek, Christian Mixter, Jill Baisinger, Karen Pohlmann, Marc Sonnenfeld
On March 22, the U.S. Supreme Court rejected a line of lower-court cases holding that statistically insignificant adverse event reports could not be material to the reasonable investor, see In re Carter-Wallace, Inc., Sec. Li... more
Presentation | Speech
Steven Stone
LawFlash/Client Alert | Securities LawFlash
Christian Bartholomew, E. Andrew Southerling, Patrick Conner
At the annual "The SEC Speaks" conference on February 4 in Washington, D.C., the Securities and Exchange Commission (SEC or the Commission) Chairman Mary Schapiro and senior officials from the Division of Enforcement reported on... more
Presentation | Speech
Michael Philipp
LawFlash/Client Alert | Investment Management FYI
Laura Flores, Steven Stone
Late in the evening on Friday, January 21, the Securities and Exchange Commission (SEC) Staff released its Study on Investment Advisers and Broker-Dealers (the Study), which was required by Section 913 of the Dodd-Frank Wall S... more
LawFlash/Client Alert | Securities LawFlash
Litigation Practice
The Morgan Lewis Securities Litigation and Enforcement Practice has published an outline highlighting selected U.S. Securities and Exchange Commission (the SEC or the Commission), Financial Industry Regulatory Authority (FINRA),... more
LawFlash/Client Alert | Financial Regulatory Reform LawFlash
John O'Brien, Ethan Johnson
Certain fund advisers that fit narrow definitions would be exempt from registration requirements imposed by the Dodd-Frank Act, but would still be required to comply with extensive recordkeeping and reporting obligations.
LawFlash/Client Alert | Securities LawFlash
Ivan Harris, Ben Indek, Christian Mixter, Meredith Auten
On December 20, the Securities and Exchange Commission (SEC or the Commission) announced that it had entered into the first nonprosecution agreement under its year-old cooperation initiative. more
Outside Publication | Chapter
Michael Philipp
Presentation | Speech
Michael Philipp
LawFlash/Client Alert | Investment Management FYI
Steven Stone, Christopher Menconi, John O'Brien, Donald Myers, Sean Graber, Timothy Levin, W. John McGuire, Thomas Harman
On July 21, the Securities and Exchange Commission (SEC) proposed new rules and disclosure requirements that, if adopted, will significantly change the existing framework governing the use of mutual fund assets to pay for distrib... more
Morgan Lewis Title | White Paper
Alice McCarthy, Michael Kraut, Anne Flannery, Ben Indek, Kerry Land, Patrick Conner, David Snider, Mary Dunbar, Kevin Rover, E. Andrew Southerling, Julia Miller
This Outline highlights selected U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) and Financial Industry Regulatory Authority (“FINRA”) enforcement actions and developmen... more
LawFlash/Client Alert | Securitization LawFlash
Business and Finance Practice
In recent months, we have alerted clients and friends to the possible new uses of utility securitization bonds in the face of rising capital costs related to, among other things, climate change legislation, renewable portfolio s... more
LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Thomas D'Ambrosio
Sweeping derivative reform legislation contains momentous changes to the way swaps and security-based swaps are regulated and reported.
LawFlash/Client Alert | Investment Management FYI
Steven Stone, David Sirignano, Timothy Levin, Mark Fitterman, Robert Mendelson, Monica Parry, John O'Brien
On April 14, the Securities and Exchange Commission (SEC) issued a release (Release) proposing that certain large-volume, high-frequency traders (classified as "large traders") be required to self-identify to the SEC, and that b... more
LawFlash/Client Alert | Washington Government Relations and Public Policy LawFlash
Scott Memmott, Howard Young
With the passage of the Patient Protection and Affordable Care Act of 2010, as amended by the Health Care Education Reconciliation Act of 2010 (the Healthcare Reform Law), Congress for the first time has mandated that a broad ra... more
Presentation | Speech
Steven Stone
Presentation | Speech
W. John McGuire
LawFlash/Client Alert | Tax LawFlash
Gary Wilcox
The Patient Protection and Affordable Care Act of 2010, as amended by the Health Care and Education Reconciliation Act of 2010 (the Healthcare Reform Law), provides for a valuable new 50% tax credit or equivalent cash grant, for... more
LawFlash/Client Alert | Washington Government Relations and Public Policy LawFlash
Stephen Mahinka
The Patient Protection and Affordable Care Act of 2010, as amended by the Health Care and Education Reconciliation Act of 2010 (the Healthcare Reform Law), contains provisions supporting the development of comparative effectiven... more