Investment Management and Securities Industry
Publications of Interest
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Investment Management FYI
Investment Management Practice
The Securities and Exchange Commission (SEC) voted unanimously on November 19 to improve mutual fund disclosure by requiring funds to provide investors with a “summary prospectus” written in plain English that presents the key ... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
Presentation | Speech
John Ayanian,
Jennifer Klass
Presentation | Speech
Christopher Weals,
Daniel Kleinman,
Jennifer Klass,
Craig Bitman,
Thomas Hogan
LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Investment Management Practice
This FYI is an update of the FYI circulated by Morgan Lewis on October 17, 2008 reflecting additional informal guidance that we understand was provided by the SEC staff to the Managed Funds Association and other groups. To ensu... more
Outside Publications | Article
Ben Indek,
Michael Kraut,
Namita Mani
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Investment Management FYI
Investment Management Practice
The SEC staff recently issued a no-action letter permitting certain exchange-traded funds (Upper Funds) to meet their investment objectives by investing all or part of their assets in other exchange-traded funds (Underlying Fun... more
Outside Publications | Article
Christian Mixter
Presentation | Speech
Steven Stone
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Investment Management Practice
As a follow-up to the emergency order it issued in September, the Securities and Exchange Commission (SEC) has issued an interim final rule requiring institutional investment managers to file Form SH to report their sho... more
LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Investment Management Practice
As a follow up to the emergency order it issued in September, the Securities and Exchange Commission (SEC) has issued interim final rules imposing close-out requirements on short sales. The new rules take effec... more
Presentation | Speech
Jennifer Klass
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Business and Finance Practice
The Emergency Economic Stabilization Act of 2008 (the “Act”) was signed into law by President Bush on October 3, 2008. Passage of the Act was the result of intense debate in both the U.S. Senate and the U.S. Ho... more
LawFlash/Client Alert | Investment Management FYI
Investment Management Practice
The Emergency Economic Stabilization Act of 2008 (Act) will directly impact investment management firms of all kinds, with the greatest impact on those firms managing accounts holding “troubled assets” eligible for purc... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Private Investment Funds LawFlash
Investment Management Practice
The fonds commun de placement à risques ( FCPR ) is the investment vehicle most commonly used in France for organizing a private equity fund. A specific type of FCPR, the FCPR allégé ( FCPR Allégémore
Outside Publications | Article
Steven Stone,
Monica Parry,
Dianne Sulzbach
Outside Publications | Article
Dianne Sulzbach
LawFlash/Client Alert | Investment Management FYI
Investment Management Practice
The past two weeks have seen a continuation or worsening of the market conditions that have challenged money market mutual funds (money funds), as well as their sponsors and advisers, over the past year. Among other things, the... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Securities Industry FYI
Investment Management and Securities Industry Practices
As the securities industry continues to wrestle with the emergency orders issued last week by the Securities and Exchange Commission (SEC), a number of interpretive questions have been raised. The SEC staff has... more