Morgan Lewis

Securities Regulation

Publications of Interest

9 Publications Found
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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

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

07/30/08 Investment Management Brochure

Marketing Material | Brochure
Investment Management & Securities Industry Group

December 2007 SEC Approves Amendments to Rule 144

White Paper | Morgan Lewis White Paper
Business and Finance

On November 15, 2007 , the Securities and Exchange Commission (SEC) approved amendments to Rule 144 under the Securities Act of 1933, as amended (the Securities Act), substantially as the amendments were propose... more

03/02/06 SEC Proposes Amendments to Redemption Fee Rule

LawFlash/Client Alert | Securities Industry FYI
Securities Industry

On February 28, the Securities and Exchange Commission (SEC) proposed amendments to Rule 22c-2 under the Investment Company Act of 1940. In addition to permitting mutual funds to charge redemption fees, Rule 22c-2 provid... more

08/01/05 The Role of Investment Advisers in Client Class Action Claims, Investment Adviser Association Newsletter

Outside Publications | Article
Steven Stone, Ryan Helmrich

January 2005 The Pitfalls of Performance-Based Fees: Lessons Learned from Bridgeway Capital Management, The Investment Lawyer

Outside Publications | Article
Monica Parry, Ryan Helmrich

Winter 2005 The Rush to Regulate, Bank Insurance & Securities Marketing

Outside Publications | Article
Kathleen Collins

02/06/03 D&O Exposure After Sarbanes-Oxley: Evaluating Risk in the New Regulatory Environment

Presentation | Speech

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