Morgan Lewis

Investment Management and Securities Industry Publications of Interest

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Update - November 11, 2008

Financial Crisis Impact and Analysis

Visit the IM/SI Website

Hedge Fund Deskbook

Fast Facts

Serve as fund and/or adviser counsel to more than 80 sponsors and advisers of investment companies with assets under management of more than $4 trillion.

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

Represent 8 of the 10 largest money managers listed by Institutional Investor.

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

Represent over 1000 mutual funds, venture capital, private equity, and hedge funds.

Team of more than 100 lawyers, more than 30 of whom joined us after distinguished careers at the SEC.

Related Events

12/15/08 ICI Education Foundation's 2008 Securities Law Developments Conference Washington, D.C.
Steven Stone, panelist, "Recent Events in the Credit Markets: Impact on Portfolio Trading"
View all events

Related Publications

11/20/08 SEC Votes to Improve Disclosure for Mutual Fund Investors
11/14/08 Current Topics for Investment Advisers, presented at the First Clearing Correspondent Services Compliance Roundtable, Washington, D.C.
(pdf)
11/14/08 Broker-Dealer Regulatory Update - As of November 13, 2008
(pdf)
View all publications

Related News

06/13/08 Chambers USA 2008 Recognizes Morgan Lewis in 19 National Practice Areas
Morgan Lewis is pleased to announce that the 2008 edition of Chambers USA: America’s Leading Lawyers for Business features Morgan Lewis as a leading national firm in 19 practice areas.
03/31/08 Morgan Lewis Boosts Cross-Border Capabilities with New Funds Partner in Paris
Morgan Lewis today announced the addition of Ann G. Baker—formerly the Paris head of the private equity fund formation practice at Debevoise & Plimpton—as a partner in its Business & Finance Practice, resident in the firm’s Paris office.
02/11/08 Lawyers Warn of Transatlantic Rule Change Trouble Ahead, Financial News
Rob Falkner is quoted on the rule change for US investors.
View all news
562 Publications Found
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08/19/08 Form 5500/ERISA 408(b)(2) Proposed Regulations Webcast

Presentation | Webcast
Marianne Yudes, Thomas Hogan, Daniel Kleinman

08/15/08 Broker-Dealer Regulatory Update - As of August 14, 2008

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

08/13/08 SEC Proposes Guidance for Investment Company Boards of Directors on Adviser Trading Practices

LawFlash/Client Alert | Investment Management FYI
Investment Management Practice

The Securities and Exchange Commission (the SEC) approved proposed guidance (the Proposed Guidance) on July 30 on the duties and responsibilities of investment company boards of directors for a fund adviser’s trading pr... more

08/08/08 Broker-Dealer Regulatory Update - As of August 7, 2008

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

08/01/08 Broker-Dealer Regulatory Update - As of July 31, 2008

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

07/30/08 Investment Management Brochure

Marketing Material | Brochure
Investment Management & Securities Industry Group

07/30/08 SEC and DOL Agree to Cooperate in Examinations

LawFlash/Client Alert | Investment Management FYI
Investment Management Practice

The U.S. Department of Labor's (DOL) Employee Benefits Security Administration and the U.S. Securities and Exchange Commission (SEC) have entered into a Memorandum of Understanding (MOU) on July 28, setting for... more

07/25/08 Broker-Dealer Regulatory Update - As of July 24, 2008

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

07/25/08 SEC Exam Staff Issues Second ComplianceAlert

LawFlash/Client Alert | Investment Management FYI
Investment Management Practice

On July 22, the Securities and Exchange Commission’s (SEC’s) Office of Compliance, Inspections, and Examinations (OCIE) issued a ComplianceAlert, the second in a planned series of periodic updates that will sum... more

07/22/08 SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule

LawFlash/Client Alert | Investment Management FYI
Investment Management Practice

As had long been expected, Securities and Exchange Commission (SEC) staff confirmed a few days ago that the SEC's cash solicitation rule, Rule 206(4)-3 (the Rule) under the Investment Advisers Act of 1940 (the ... more

07/18/08 Broker-Dealer Regulatory Update - As of July 17, 2008

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

07/17/08 SEC Issues Emergency Order to Deter Uncovered Short Sales in Certain Financial Institutions

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

07/16/08 Investment Company Regulation and Compliance, presented by ALI-ABA, Boston

Presentation | Speech
W. McGuire

07/15/08 Broker-Dealer Regulatory Update - As of July 11, 2008

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

07/08/08 FSA Proposes Extension of UK Major Shareholder Notification Requirements to Equity Contracts for Differences (Including Equity Swaps and Other Equity Derivatives)

LawFlash/Client Alert | Securities Industry FYI
Securities Industry Practice

In the light of responses to its 2007 consultation paper on the disclosure of Contracts for Differences (CP07/20), the United Kingdom’s Financial Services Authority (FSA) has decided to implement a general disc... more

07/01/08 SEC Proposes Rule That Would Require Equity Index Annuities to Be Registered Securities

LawFlash/Client Alert | Investment Management FYI
Investment Management Practice

The Securities and Exchange Commission (SEC) has proposed a rule which, if adopted, is expected to require all insurance companies issuing equity index annuities (EIAs) to register them as securities under the Securitie... more

June 2008 Hedge Fund Side Letters: Compliance Issues, Policies, and Best Practices, Complinet: Securities and Banking

Outside Publications | Article
Thomas Harman, Dianne Sulzbach

06/30/08 SEC Proposes Major Revisions to Rule 15a-6

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

06/26/08 Investing in Infrastructure Assets, presented at The National Association of Public Pension Attorneys Annual Conference, Boston

Presentation | Speech
Georgette Schaefer

06/25/08 National Financial Risk and Regulatory Client Webinar: Proposed Regulation S-P Amendments

Presentation | Webcast
Shauna Sappington, Mark Matthews, Steven Stone

06/20/08 Broker-Dealer Regulatory Update - As of June 19, 2008

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

06/18/08 The New Examination Process: How to Be Prepared, presented at the BISA Conference, Washington, D.C.

Presentation | Speech
Mark Fitterman, Beth Kiesewetter, Anne Flannery

06/13/08 Broker-Dealer Regulatory Update - As of June 12, 2008

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

06/13/08 Interactive Data for Mutual Fund Risk/Return Summary

LawFlash/Client Alert | Investment Management FYI
Investment Management Practice

The U.S. Securities and Exchange Commission (SEC) recently proposed to require mutual funds to provide their risk/return summary information in interactive data format as an exhibit to their post-effective amen... more

06/06/08 Broker-Dealer Regulatory Update - As of June 5, 2008

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

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