Securities Industry
Publications of Interest
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
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
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
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Securities Industry FYI
Securities Industry Practice
The SEC has issued an emergency order to deter naked short selling in the publicly traded securities of 19 specific financial services firms, including Fannie Mae and Freddie Mac (a list of the issuers is set forth belo... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
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
Presentation | Webcast
Shauna Sappington,
Mark Matthews,
Steven Stone
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
Presentation | Speech
Mark Fitterman,
Beth Kiesewetter,
Anne Flannery
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
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
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
Outside Publications | Article
Jennifer Klass,
Joshua Blackman
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 | 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