Securities Industry
Publications of Interest
Outside Publications | Article
Steven Stone,
Monica Parry,
Dianne Sulzbach
Outside Publications | Article
Justin Chairman,
Alan Singer
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
Outside Publications | Article
Monica Parry
LawFlash/Client Alert | Securities Industry FYI
Investment Management and Securities Industry Practices
This FYI is an update of the FYI circulated by Morgan Lewis on Sunday, September 21, to reflect changes announced overnight by U.S. and foreign regulators. To ensure that our clients have the latest development... more
LawFlash/Client Alert | Securities Industry FYI
Investment Management and Securities Industry Practices
In the face of the current extraordinary market conditions, the Securities and Exchange Commission (SEC) has announced that it is exercising regulatory powers through the following temporary orders: (1) prohibi... more
White Paper | Morgan Lewis White Paper
Stephen Farrell
The Sarbanes-Oxley Act of 2002 has had a dramatic effect on public companies. Sarbanes-Oxley, which became law on July 30, 2002, was the first comprehensive federal legislation to impose significant corporate g... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Securities LawFlash
Business and Finance Practice
On August 27, the U.S. Securities and Exchange Commission (SEC) adopted a number of rule amendments intended to update and enhance disclosure and filing requirements applicable to foreign issuers, including, mo... more
LawFlash/Client Alert | Securities LawFlash
Litigation Practice
In the years following the passage of the Private Securities Litigation Reform Act of 1995 (PSLRA), plaintiffs have tried numerous approaches to satisfying the PSLRA’s stringent requirement to plead a “strong i... 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 | Broker-Dealer Regulatory Update
Investment Management Practice
White Paper | Morgan Lewis White Paper
Kurt Rademacher,
Ben Indek,
Anne Flannery,
Michael Kraut,
Bonnie Altro,
Kerry Land
This outline highlights selected U.S. Securities and Exchange Commission ("SEC" or the "Commission"), Financial Industry Regulatory Authority ("FINRA"), and NYSE Regulation enforcement actions and developments regarding... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
Marketing Material | Brochure
Investment Management & Securities Industry Group
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
White Paper | Morgan Lewis White Paper
Stephen Farrell
The Sarbanes-Oxley Act of 2002 has had a dramatic effect on public companies. Sarbanes-Oxley, which became law on July 30, 2002, was the first comprehensive federal legislation to impose significant corporate g... more
LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice
The Securities Offering Reform rules, which became effective December 1, 2005, contain a “sunset” provision under which several common types of shelf registration statements expire three years after their initial effect... more
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice
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
LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice