LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Employee Benefits and Investment Management Practices
The U.S. Department of Labor (DOL) has adopted a final regulation to implement the statutory exemption from the prohibited transaction rules of the Employee Retirement Income Security Act of 1974, as amended (ERISA), for the pro... more
LawFlash/Client Alert | Investment Management and Restructuring LawFlash
Joshua Blackman, Robert Mendelson
On October 31, the Securities Investor Protection Corporation (SIPC) filed for a protective order under the Securities Investor Protection Act (SIPA) for MF Global Inc., a company registered jointly as an Securities and Exchange... more
LawFlash/Client Alert | Investment Management LawFlash
John O'Brien, P. Georgia Bullitt, Monica Parry, Steven Stone, Timothy Levin, Robert Mendelson, Mark Fitterman, Joshua Blackman, David Sirignano
On July 26, two decades after it first proposed adoption of a large trader reporting system, the Securities and Exchange Commission (SEC) voted to adopt Rule 13h-1 (the Rule) under the Securities Exchange Act of 1934 (Exchange Ac... more
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
LawFlash/Client Alert | Investment Management FYI
Steven Stone, Christopher Menconi, John O'Brien, Donald Myers, Sean Graber, Timothy Levin, W. John McGuire, Thomas Harman
On July 21, the Securities and Exchange Commission (SEC) proposed new rules and disclosure requirements that, if adopted, will significantly change the existing framework governing the use of mutual fund assets to pay for distrib... more
Morgan Lewis Title | White Paper
Michael Kraut, Anne Flannery, Ben Indek, Kerry Land, Patrick Conner, David Snider, Mary Dunbar, Kevin Rover, E. Andrew Southerling, Julia Miller
This Outline highlights selected U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) and Financial Industry Regulatory Authority (“FINRA”) enforcement actions and developmen... more
LawFlash/Client Alert | Investment Management FYI
Steven Stone, David Sirignano, Timothy Levin, Mark Fitterman, Robert Mendelson, Monica Parry, John O'Brien
On April 14, the Securities and Exchange Commission (SEC) issued a release (Release) proposing that certain large-volume, high-frequency traders (classified as "large traders") be required to self-identify to the SEC, and that b... more
Presentation | Speech
Steven Stone
Outside Publication | Article
Ben Indek, Michael Kraut
LawFlash/Client Alert | Securities LawFlash
Litigation Practice
The Morgan Lewis Securities Litigation and Enforcement Practice has published an outline highlighting selected U.S. Securities and Exchange Commission (SEC or the Commission), Financial Industry Regulatory Authority (FINRA), and... more
Morgan Lewis Title | White Paper
Kerry Land, Anne Flannery, Kevin Rover, David Snider, Ben Indek, Michael Kraut, Kurt Rademacher, Julia Miller
This outline highlights selected U.S. Securities and Exchange Commission (the “SEC” or the “Commission”), Financial Industry Regulatory Authority (“FINRA”), and NYSE Regulation enforcement ac... more
LawFlash/Client Alert | Securities Industry FYI
Robert Mendelson
On July 27, the Securities and Exchange Commission (SEC) announced several actions in its continuing examination of short sale regulation. First, the SEC adopted Rule 204 of Regulation SHO under the Securities Exchange Act of 1... more
LawFlash/Client Alert | Investment Management FYI
Michael Berenson, Christopher Menconi
On July 21, the U.S. Court of Appeals for the District of Columbia Circuit issued its opinion in American Equity Investment Life Insurance Company, et al. [1] v. Securities and Exchange Com... more
Morgan Lewis Title | White Paper
Anne Flannery, Ben Indek, Michael Kraut
This outline highlights selected U.S. Securities and Exchange Commission (the “SEC” or the “Commission”), Financial Industry Regulatory Authority (“FINRA”), and NYSE Regulation enforcement ac... more
LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice
On June 17, the Obama administration released its recommendations to reform the financial regulatory system: Financial Regulatory Reform-A New Foundation: Rebuilding Financial Supervision and Regulation . The recommendations p... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
Presentation | Speech
Anne Flannery
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Investment Management FYI
Monica Parry, P. Georgia Bullitt, Steven Stone
As expected, on May 14 the Securities and Exchange Commission (SEC) proposed changes to the custody rule under the Investment Advisers Act of 1940, Rule 206(4)-2, that will affect the roughly 9,600 investment advisers that the ... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Investment Management FYI
P. Georgia Bullitt, Robert Mendelson
Money managers trading U.S. Treasury securities need to take quick action to prepare for the May 1, 2009 effectiveness of the industrywide voluntary protocol under which parties will be assessed penalties for settlement fails in ... more