Publications of Interest > Broker-Dealers > Securities Industry > Industries > Practices : Morgan, Lewis & Bockius

August 2010 2010 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

Morgan Lewis Title | White Paper
Kerry Land, Anne Flannery, E. Andrew Southerling, Kevin Rover, David Snider, Mary Dunbar, Patrick Conner, 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

04/29/10 SEC’s Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers

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

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

Presentation | Speech
Steven Stone

02/25/10 Enforcement Developments Regarding Broker-Dealers, Law360 Guest Column

Outside Publication | Article
Ben Indek, Michael Kraut

01/28/10 2009 Year In Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

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

January 2010 2009 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

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

08/10/09 SEC Announces Actions on Short Sales

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

08/03/09 The Fate of Fixed Indexed Annuities and Rule 151A

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

July 2009 2009 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

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

06/29/09 Financial Regulatory Reform Proposal: Hedge Funds, Private Equity Funds, Venture Capital Firms May Be Required to Register with SEC

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

06/19/09 Broker-Dealer Regulatory Update - As of June 18, 2009