Morgan Lewis

Broker-Dealer & Capital Markets Regulation Publications of Interest

9 Publications Found
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06/08/11 Time Running Out on Retail Currency Business for SEC-Registered Broker-Dealers

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, P. Georgia Bullitt, F. Mindy Lo

As things currently stand, on July 16, when the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010 (Dodd-Frank Act)[1] becomes effective, Securities and Exchange Commission (SE... more

04/22/10 Preparing for Regulatory Change in Private Client Services, presented at the SIFMA Private Client Conference, New York

Presentation | Speech
Steven Stone

June 2009 The Madoff “Opportunity”: Harmonizing the Overarching Standard of Care for Financial Professionals Who Give Investment Advice, Wall Street Lawyer, Vol. 13, Issue 6

Outside Publication | Article
Steven Stone

06/19/09 Ethical Responsibilities of Legal and Compliance Professionals: Recent SEC and FINRA Cases Involving Lawyers and Compliance Professionals, presented at the 31st Annual ALI-ABA Broker-Dealer Regulation Conference, New York

Presentation | Speech
Anne Flannery

05/29/09 SEC to Propose Rule Amendments to Facilitate Rights of Shareholders to Nominate Directors

LawFlash/Client Alert | Securities LawFlash
Business and Finance Practice

The Securities and Exchange Commission (SEC) voted on May 20 to propose rule amendments to facilitate the rights of shareholders to nominate directors of corporate boards. The following summarizes the proposed rules based on st... more

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

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

04/25/08 Broker-Dealer Regulatory Update - As of April 25, 2008

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

11/09/07 Broker-Dealer Regulatory Update - As of November 9, 2007

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Broker-Dealer

11/09/07 MSRB Issues Guidance Regarding Revisions to Its Supervisory Rules

LawFlash/Client Alert | Securities Industry FYI
Broker-Dealer Practice

On November 8, 2007, the Municipal Securities Rulemaking Board (MSRB) issued Notice 2007-32 with guidance pertaining to amendments to its supervision rule, Rule G-27. The Notice stated that the amendments, which become effectiv... more

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