Morgan Lewis

Investment Management and Securities Industry Related News

For More Information

Resources

Fast Facts

Serve as fund and/or adviser counsel to more than 20 sponsors and advisers of investment companies with assets under management of more than $4 billion.

Serve as either fund and/or adviser counsel to 48 out of the top 50 open end ETFs.

Represent 9 of the 10 largest money managers listed by Institutional Investor.

Represent more than 200 broker-dealers, including most of the largest 100 U.S. securities firms listed by Institutional Investor.

Represent more than 750 mutual funds, venture capital, private equity, and hedge funds.

Team of more than 200 lawyers, more than 20 of whom joined us after distinguished careers at the SEC.

Related Events

01/23/15 8th Annual Opportunities in the DCIO Market Boston
Marla Kreindler, presenter
03/05/15-03/06/15 IAA Investment Adviser Compliance Conference Arlington, VA
Steven W. Stone, panelist
03/15/15-03/18/15 Compliance and Legal Society Annual Seminar 2015 Phoenix, AZ
Steven W. Stone, panelist
View all events

Related Publications

12/10/14 FINRA and MSRB Seek Disclosure of Fixed-Income Price Differentials
The respective proposals would require disclosure of price differentials in certain same-day fixed-income transactions that involve retail customers and go beyond existing price differential disclosure requirements in equity transactions.
12/09/14 CFPB Proposes Sweeping New Regulations for Prepaid Products
CFPB proposes to regulate a wide variety of prepaid access devices (card-based, electronic, or virtual) as equivalent to credit cards.
View all publications

Related News

10/15/14 United States Securities and Exchange Commissioner Daniel M. Gallagher, Jr. to Speak at Fordham Corporate Law Center’s Annual A.A. Sommer, Jr. Lecture
Mr. Gallagher will speak on “The Securities and Exchange Commission – The Next 80 Years." The annual A.A. Sommer, Jr. Lecture, established in 2000 by Morgan Lewis, is one of Fordham Corporate Law Center's most significant and influential programs.
View all news
55 news articles found
page 1 of 3
Oct 15, 2014 - United States Securities and Exchange Commissioner Daniel M. Gallagher, Jr. to Speak at Fordham Corporate Law Center’s Annual A.A. Sommer, Jr. Lecture

Mr. Gallagher will speak on “The Securities and Exchange Commission – The Next 80 Years." The annual A.A. Sommer, Jr. Lecture, established in 2000 by Morgan Lewis, is one of Fordham Corporate Law Center's most significant and influential programs.

Sep 12, 2014 - Russia/Ukraine: Additional U.S. Sanctions Against Russia
Sep 08, 2014 - Russia/Ukraine: Additional EU Sanctions Against Russia
Jul 16, 2014 - Russia/Ukraine: Additions to the United States Sectoral Sanctions Identifications and Specially Designated Nationals Lists
Jul 01, 2014 - Russia/Ukraine: Status of Sanctions as of 07/1/2014

In light of continued unrest in eastern Ukraine, U.S. and EU authorities are maintaining their sanctions programs against designated persons and entities in Russia and Crimea and have added certain names to their sanctions lists.

Apr 28, 2014 - Russia/Ukraine: Additional U.S. and EU Sanctions as of 4/28/2014

On Monday, April 28, the United States added seven individuals and 17 companies to the list of SDNs as well as 13 companies to the Department of Commerce's Entity List. In addition, the European Union announced that an additional 15 individuals have been added to its list of sanctioned persons.

Apr 14, 2014 - Russia/Ukraine: Additional EU Sanctions (view PDF)

On April 14, 2014, the European Union (EU) added four additional names to the list of sanctioned persons.

Apr 11, 2014 - Russia/Ukraine: Additional U.S. Sanctions (view list)

On April 11, 2014, the United States added seven additional individuals and one entity to the list of SDNs.

Apr 04, 2014 - Russia/Ukraine: Status of U.S. Sanctions as of 04/04/2014

On April 4, President Barack Obama signed into law the United States’ Support for the Sovereignty, Integrity, Democracy, and Economic Stability of Ukraine Act of 2014

Mar 25, 2014 - Ukraine bailout imminent, International Financing Review (read the article)

Business and Finance partner Carter Brod is quoted.

Mar 21, 2014 - Russia/Ukraine: Additional EU Sanctions (view PDF)

On March 21, 2014, the European Union (EU) added 12 additional names to the list of sanctioned persons.

Mar 20, 2014 - Russia/Ukraine: Status of U.S. Sanctions as of 3/20/14

By Executive Orders (EOs) issued on March 17, 2014 and March 20, 2014, the United States has designated 31 individuals in Russia and Ukraine and one Russian bank as subject to sanctions.

Jan 28, 2014 - SEC Dragging Out Active ETFs’ Derivatives Reviews, Financial Times (read the article - sub. req.)

Richard Morris is quoted about SEC concerns over the use of derivatives in active ETF listings.

Nov 03, 2013 - U.S. Exchange-traded Funds Moving into Latin American Pensions, Reuters (read the article)

Investment Management partner Richard Morris is quoted.

Sep 03, 2013 - OCIE Plans Securities Lending Sweep, Compliance Intelligence (read the article - sub. req.)

Richard Morris discusses increased SEC scrutiny of securities lending programs and provides tips to compliance officers reviewing these programs.

Aug 08, 2013 - Veteran Bank Regulatory Lawyer Joins Morgan Lewis

Morgan Lewis announced today that Charles Horn, a leading bank regulatory lawyer, joined the firm as a partner, resident in Washington, D.C.

Jul 02, 2013 - Bitcoin Exchange-Traded Offering Seen Facing Tough Regulatory Scrutiny, Wall Street Journal Money Beat (read the article)

Investment Management partner Richard Morris is quoted.

Jul 01, 2013 - Director of SEC's Chicago Regional Office to Join Morgan Lewis's Litigation Practice

Morgan Lewis today announced that Merri Jo Gillette will join the firm as a partner in its Litigation Practice beginning in September, resident in Chicago.

Jun 27, 2013 - Morgan Lewis Promotes Seventeen Lawyers to Partnership

Morgan Lewis today announced that 17 lawyers have been invited to join its partnership effective October 1, 2013.

May 24, 2013 - Ensure Policies Match Exemptive Orders, IAs Warned, Compliance Intelligence (read the article - sub. req.)

Richard Morris describes ways in which investment advisory firms can adopt policies to ensure that they are in compliance with exemptive orders.

Apr 29, 2013 - FINRA Opens Door To Hypothetical Index Data, Compliance Intelligence (read the article - sub. req.)

Richard Morris discusses the Financial Industry Regulatory Authority’s guidance for exchange-traded product sponsors on the use of pre-inception index performance data in communications with institutional investors.

Apr 29, 2013 - Green Light Given to ETF ‘Self-Indexing’, Financial Times (read the article - sub. req.)

Richard Morris discusses new Financial Industry Regulatory Authority guidance permitting providers of exchange traded funds to use “pre-inception index data” when marketing new products to institutional investors.

Apr 22, 2013 - The 6 Firms Shaking Up the Legal Market, Law360

Morgan Lewis is profiled in BTI Consulting Group's Brand Elite: Client Perceptions of the Best-Branded Law Firms report.

Apr 22, 2013 - When Crisis Hits, GCs Have These 8 Firms On Speed Dial, Law360

Morgan Lewis's inclusion in BTI Consulting Group's Brand Elite report is covered.

Apr 22, 2013 - GCs Say Strong Brand Key to Landing New Clients, Law360

Morgan Lewis strong brand is recognized in BTI Consulting Group's 2013 Brand Elite report.

page 1 of 3