Outside Publication | Article
Ben Indek, Michael Kraut
Morgan Lewis Title | Morgan Lewis White Paper
Melissa Mitchell, Michael Kraut, Kurt Rademacher, Anne Flannery, Ben Indek, Clare Cusack, John Shin, Kerry Land, David Snider, Kevin Rover, Julia Miller, Alice McCarthy
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 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
LawFlash/Client Alert | Securities Industry FYI
Mark Fitterman, 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
Ashley Vroman-Lee, 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. v. Securities and Exchange Commission . The issue before the court w... more
Morgan Lewis Title | Morgan Lewis 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 recommendat... 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
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Investment Management FYI
John O'Brien, Michael Berenson, W. John McGuire, Sean Graber, Timothy Levin, Christopher Menconi, Thomas Harman
In order to further stabilize the financial markets, the U.S. Treasury Department (the Treasury) recently announced an additional extension to the Temporary Money Market Funds Guarantee Program (the Program). The Program, whic... more
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
John O'Brien, Mark Fitterman, Ben Indek, Steven Stone
The Financial Industry Regulatory Authority (FINRA) recently filed with the Securities and Exchange Commission (SEC) a proposed rule change that, if adopted, would make significant changes in the reporting of certain disclosure... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Securities LawFlash
Litigation Practice
As it has done over the last several years, the Securities Litigation and Enforcement Practice has published an outline highlighting selected U.S. Securities and Exchange Commission (SEC or the Commission), Financial Industry R... more