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| Title | Event Type | Start Date | End Date |
|---|---|---|---|
| Corporate Codes of Conduct Including Implementation Guidelines for the Whistleblower Provisions of SARBANES-OXLEY | Seminars | 12/03/2002 | 12/03/2002 |
| Corporate America in Crisis: New Disclosures Effecting Public Companies | Seminars | 01/09/2003 | 01/09/2003 |
| BizWire Presents: Sarbanes-Oxley and the Effect on non-US Listed Firms on US Exchanges | Seminars | 01/30/2003 | 01/30/2003 |
| What You Need to Know - Non-GAAP Financial Measures | Seminars | 03/19/2003 | 03/19/2003 |
| Annual Proxy Statement and Reporting Requirements | Seminars | 01/13/2004 | 01/13/2004 |
| Annual Proxy Statement and Reporting Requirements: Are You Prepared? | Seminars | 02/11/2004 | 02/11/2004 |
| Client Caucus: Proposed Government Definitions of an Applicant | Webinars | 04/21/2004 | 04/21/2004 |
| Sixth Annual A.A. Sommer, Jr. Corporate Securities and Financial Law Lecture | Seminars | 11/17/2005 05:30 PM | 11/17/2005 05:30 PM |
| 15th Annual NASD Spring Securities Conference, Hollywood, FL Anne Flannery, panelist |
Conferences and Speeches | 05/17/2006 | 05/19/2006 |
| City Bar Association Seminar, New York Anne Flannery, speaker |
Conferences and Speeches | 06/01/2006 | 06/01/2006 |
| Preparing for 2007: New SEC Rules for Executive Compensation Disclosure | Webinars | 09/13/2006 01:00 PM | 09/13/2006 01:00 PM |
| Preparing for 2007: New SEC Rules for Executive Compensation Disclosure | Webinars | 09/14/2006 01:00 PM | 09/14/2006 01:00 PM |
| Seventh Annual A.A. Sommer, Jr. Corporate Securities & Financial Law Lecture, New York | Special Events | 10/17/2006 06:00 PM | 10/17/2006 06:00 PM |
| 2006 National Society of Compliance Professionals (NSCP) National Membership Meeting John Ayanian, panelist, "Financial Planning Issues"; Ben Indek, panelist, "Regulatory Audits — What You Need to Know"; Steve Stone, panelist, "Supervision of Trading Desk Activities" |
Conferences and Speeches | 10/18/2006 | 10/20/2006 |
| IAA Compliance Workshop Georgia Bullitt, speaker |
Conferences and Speeches | 11/02/2006 10:00 AM | 11/02/2006 10:00 AM |
| SIFMA Compliance and Legal Division 38th Annual Seminar Michael Lawson, panelist, "Designing an Effective Retail Surveillance Program"; Ben Indek, panelist, "Electronic Communications"; Steve Stone, panelist, "Investment Advisor - From the Broker-Dealer Perspective"; Robert Mendelson, panelist, "Compliance Directors/Chief Compliance Officers Roundtable - Global Firm Issues"; Steven Malina, panelist, "The Broker Dealer (Distributor) Perspective"; Anne Flannery, panelist, "Litigating with the SEC and SROs" |
Conferences and Speeches | 03/25/2007 | 03/28/2007 |
| Second Annual Outsourcing in the Financial Services Seminar: Essential Business, Legal, and Regulatory Considerations | Seminars | 06/06/2007 08:30 AM | 06/06/2007 08:30 AM |
| SIFMA Research Management Conference John Ayanian, moderator, "Research Regulation - Interpretations, New Rules, and Future Plans" |
Conferences and Speeches | 09/28/2007 | 09/28/2007 |
| Financial Markets World 20th Annual Small Firms Georgia Bullitt, speaker, "Fee-Based Brokerage Accounts and the Elimination of Rule 202(a)(11)-1" |
Conferences and Speeches | 10/10/2007 | 10/12/2007 |
| FINRA Institute at Wharton Certificate Program Georgia Bullitt, speaker, "Internal Controls for Broker-Dealers" |
Conferences and Speeches | 11/06/2007 | 11/10/2007 |
| The ERISA and Securities Law Issues That Will Hit Your Balance Sheet in 2008: What Every General Counsel Needs to Know CLE credits pending |
Seminars | 11/08/2007 08:00 AM | 11/08/2007 05:00 PM |
| The ERISA and Securities Law Issues That Will Hit Your Balance Sheet in 2008: What Every General Counsel Needs to Know CLE credits pending |
Seminars | 11/15/2007 08:00 AM | 11/15/2007 05:00 PM |
| 2008 Legal and Regulatory Affairs Conference Steven Stone, speaker, "Compliance Program Issues for SMA accounts - What You Need to Know"; Monica Parry, speaker, "Update on SMA Marketing Issues"; David Sirignano, speaker, "Beneficial Ownership Reporting and Restrictions" |
Conferences and Speeches | 06/17/2008 | 06/17/2008 |
| Form 5500/408(b)(2) Webcast Please see event details for CLE credit information. |
Webinars | 08/19/2008 12:00 PM | 08/19/2008 01:00 PM |
| Form 5500/408(b)(2) Webcast Please see event details for CLE credit information. |
Webinars | 08/19/2008 03:00 PM | 08/19/2008 04:00 PM |
| 401(k) Fees Regulation Webcast Please see event details for CLE credit information. |
Webinars | 09/10/2008 12:00 PM | 09/10/2008 01:00 PM |
| 401(k) Fees Regulation Webcast Please see event details for CLE credit information. |
Webinars | 09/10/2008 03:00 PM | 09/10/2008 04:00 PM |
| Ascendant Conference: The Integration of Compliance with Operations and Business Management Steven Stone and Lee Falk, speakers |
Conferences and Speeches | 09/17/2008 | 09/18/2008 |
| Global Investment Performance Standard Conference Steven Stone, speaker |
Conferences and Speeches | 09/25/2008 | 09/26/2008 |
| The Evolution of Products & Process: Managed Solutions Matter Conference Steven Stone, presenter |
Conferences and Speeches | 10/16/2008 | 10/17/2008 |
| NSCP National Membership Meeting Anne Flannery, Ivan Harris, Ben Indek, and Steven Stone, speakers |
Conferences and Speeches | 10/20/2008 | 10/22/2008 |
| Investment Adviser Association Fall 2008 Compliance Workshop Jennifer Klass, speaker, "Form ADV Part 2 and Regulation S-P" |
Conferences and Speeches | 10/27/2008 | 10/27/2008 |
| Ninth Annual A.A. Sommer Law Lecture | Conferences and Speeches | 11/06/2008 | 11/06/2008 |
| NRS Center for Compliance Professionals Investment Adviser Compliance Training Jennifer Klass, speaker, "Investment Advisers Act of 1940, Sections 206-222 and Related SEC Rules" |
Conferences and Speeches | 11/12/2008 | 11/12/2008 |
| ICI Education Foundation's 2008 Securities Law Developments Conference Steven Stone, panelist, "Recent Events in the Credit Markets: Impact on Portfolio Trading" |
Conferences and Speeches | 12/15/2008 | 12/15/2008 |
| An Uphill Battle: Opportunities & Issues 2009 - A Morgan Lewis Seminar for Public Companies Please see event details for CLE credit information. |
Seminars | 01/22/2009 07:30 AM | 01/22/2009 10:00 AM |
| Wharton Hedge Fund Conference 2009 Steven Stone, panelist, "Regulation in the Aftermath of the Financial Crisis" |
Conferences and Speeches | 02/20/2009 | 02/20/2009 |
| CCO Roundtable Steve Stone, presenter, "Investment Regulatory Issues" |
Conferences and Speeches | 02/25/2009 | 02/25/2009 |
| Wharton Business Technology Conference 2009 Jeffrey Bodle, moderator, "Startup" panel |
Conferences and Speeches | 02/27/2009 | 02/27/2009 |
| Fiduciary Implications of the Market Crisis Please see event details for CLE credit information. |
Webinars | 03/11/2009 12:00 PM | 03/11/2009 01:00 PM |
| SIFMA Compliance and Legal Division 2009 Annual Seminar John V. Ayanian, Anne Flannery, Ben Indek, Jami Wintz McKeon, Robert Mendelson, Robert Romano, Steven Stone, speakers |
Conferences and Speeches | 03/22/2009 | 03/25/2009 |
| 2009 Mutual Funds and Investment Management Conference Thomas Harman, speaker, "Recent Market Events and Their Effect on Valuation Practices" |
Conferences and Speeches | 03/22/2009 | 03/25/2009 |
| 2009 Annual Private Fund Investors Roundtable | Seminars | 04/23/2009 09:30 AM | 04/23/2009 05:00 PM |
| NRS 24th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference Steven W. Stone, speaker, "SEC Inspection Priorities for Investment Advisors and Mutual Funds in the Wake of the Market Crisis" |
Conferences and Speeches | 04/26/2009 | 04/29/2009 |
| 7th Annual PMAR Conference Steven Stone, speaker, "An Update on Regulatory Issues" |
Conferences and Speeches | 05/20/2009 | 05/21/2009 |
| 31st Annual ALI-ABA Broker-Dealer Regulation Conference Anne C. Flannery, panelist, "Ethical Responsibilities of Legal and Compliance Professionals"; Robert C. Mendelson, moderater, "Fixed Income" |
Conferences and Speeches | 06/18/2009 | 06/19/2009 |
| SEC's International Institute for the Regulation and Inspection of Investment Advisers Steven Stone, panelist, "Examination Protocols" |
Conferences and Speeches | 06/24/2009 | 06/24/2009 |
| The Effect of Proxy Issues on Executive Compensation: A Review of the Recent Proxy Season and What You Should Be Considering Now Webcast Please see event details for CLE credit information. |
Webinars | 07/22/2009 12:00 PM | 07/22/2009 01:00 PM |
| MMI Technology and Operations Conference 2009 Jennifer Klass, speaker, "Legal and Regulatory Update" |
Conferences and Speeches | 09/15/2009 | 09/15/2009 |
| SIFMA Saving and Retirement Conference 2009 Steven Stone, panelist, "Investment Advice: The Climate for Change" |
Conferences and Speeches | 09/16/2009 | 09/17/2009 |
| GIPS Standards Annual Conference 2009 Steven Stone, panelist, "Preparing for an SEC Exam," and "Performance Advertising 101: Regulatory Do's and Don'ts" |
Conferences and Speeches | 09/23/2009 | 09/23/2009 |
| NSCP 2009 National Membership Meeting Steven Stone, speaker, "Commission Sharing Agreements vs. Traditional Soft Dollar Agreements: What has Changed?" |
Conferences and Speeches | 10/05/2009 | 10/07/2009 |
| NRS Desktop Seminar John McGuire, speaker, "Today's Investment Adviser Books and Records Requirements - Including E-mail and How to Avoid Common Exam Problems" |
Conferences and Speeches | 10/08/2009 | 10/08/2009 |
| 2009 IAA Fall Compliance Workshop Jennifer Klass, speaker, "Regulatory Update" |
Conferences and Speeches | 10/14/2009 | 10/14/2009 |
| 2009 TD Ameritrade Fall Regional Conference Steven Stone, panelist, "Hot Regulatory Topics for Advisers" |
Conferences and Speeches | 10/19/2009 | 10/19/2009 |
| Navigating Form 5500 Schedule C Webcast | Webinars | 11/17/2009 12:00 PM | 11/17/2009 01:00 PM |
| West LegalEdCenter's 28th Annual Federal Securities Institute - Securities Regulation at the Crossroads Ivan P. Harris, moderator, "The SEC Enforcement Program" |
Conferences and Speeches | 02/11/2010 | 02/12/2010 |
| Ascendant Investment Adviser Compliance Conference—A Bold New World of Compliance: 2010 Steve Stone, speaker, "Critical Elements of Commission Sharing Arrangements and Soft Dollars" and "Insider Trading: Creating a Safe Environment (SEC Top Risk)" |
Conferences and Speeches | 03/10/2010 | 03/12/2010 |
| 2010 SEI Executive Conference Tim Levin, panelist, "Regulatory Update: Traditional Update" |
Conferences and Speeches | 03/21/2010 | 03/24/2010 |
| Chief Compliance Officer Roundtable Please see event details for CLE credit information. |
Seminars | 04/15/2010 08:30 AM | 04/15/2010 12:00 PM |
| National Organization of Investment Professionals' Spring Conference 2010 John Ayanian, moderator |
Conferences and Speeches | 04/19/2010 | 04/19/2010 |
| Risks and Temptations: Governance Game-Changers in 2010 Please see event details for CLE credit information. |
Seminars | 04/20/2010 08:00 AM | 04/20/2010 12:00 PM |
| SIFMA Private Client Conference 2010 Steve Stone, panelist, "Preparing for Regulatory Change" |
Conferences and Speeches | 04/22/2010 | 04/23/2010 |
| 42nd Annual Rocky Mountain Securities Conference Steven Stone, panelist, "Mutual Funds, Broker Dealers and Investment Advisers: Risks and Approaches to a Changing Market Place" |
Conferences and Speeches | 05/07/2010 | 05/07/2010 |
| Philadelphia Compliance Roundtable | Seminars | 05/12/2010 09:00 AM | 05/12/2010 01:30 PM |
| ALI-ABA Investment Company Regulation and Compliance Conference Tom Harman, John McGuire, and Christian Bartholomew, speakers |
Conferences and Speeches | 06/03/2010 | 06/04/2010 |
| IAA's Soft Dollar Arrangements: Commission Sharing vs. Traditional Soft Dollar Arrangements and Other Current Issues Webcast Steven Stone, speaker, "Soft Dollar Arrangements: Commission Sharing vs. Traditional Soft Dollar Arrangements and Other Current Issues Webcast" |
Conferences and Speeches | 06/03/2010 | 06/03/2010 |
| New Uses for Utility Securitization Bonds Please see event details for CLE credit information. |
Webinars | 06/24/2010 12:00 PM | 06/24/2010 01:00 PM |
| West LegalEdCenter's 29th Annual Federal Securities Institute Christian Bartholomew, speaker, 29th Annual Federal Securities Institute. |
Conferences and Speeches | 02/16/2011 | 02/17/2011 |
| Pennsylvania Bar Institute (PBI) 14th Annual Federal Securities Law Forum Alan Singer, presenter |
Conferences and Speeches | 04/29/2011 | 04/29/2011 |
| SEC’s Final Rules for Implementing Dodd-Frank Whistleblower Provisions Please see event details for CLE credit information. |
Seminars | 07/14/2011 11:30 AM | 07/14/2011 02:00 PM |
| SEC’s Final Rules for Implementing Dodd-Frank Whistleblower Provisions Please see event details for CLE credit information. |
Seminars | 07/19/2011 08:00 AM | 07/19/2011 10:30 AM |
| SEC’s Final Rules for Implementing Dodd-Frank Whistleblower Provisions Please see event details for CLE credit information. |
Seminars | 07/20/2011 11:30 AM | 07/20/2011 02:00 PM |
| SEC’s Final Rules for Implementing Dodd-Frank Whistleblower Provisions Please see event details for CLE credit information. |
Seminars | 07/28/2011 08:00 AM | 07/28/2011 10:30 AM |
| Practicing Law Institute (PLI) New York - Understanding the Securities Laws 2011 Bart Colli, presenter, "Inside Counsels' Perspective on Securities Law Issues" |
Conferences and Speeches | 07/29/2011 | 07/29/2011 |
| 5th Annual Social Media Compliance in Financial Services Industry Conference Beth Kiesewetter, panelist, Investment Adviser/Broker-Dealer Compliance and Record Retention |
Conferences and Speeches | 09/21/2011 08:30 AM | 09/21/2011 04:30 PM |
| International Business & Finance Summit 2012 (IBFS) Rebecca Leon, speaker, "Session IX: Developments in Asset Management" |
Conferences and Speeches | 02/03/2012 05:00 PM | 02/03/2012 05:50 PM |
| 30th Annual Federal Securities Institute Linda Griggs, panelist, "Ethical Issues/Challenges Faced by Lawyers Dealing with Disclosure Issues" |
Conferences and Speeches | 02/16/2012 | 02/16/2012 |
| The 4th National Municipal Bond Summit Andrew Southerling, speaker, "Rewriting the Rules: SEC Regulatory Efforts in 2012" |
Conferences and Speeches | 03/16/2012 09:45 AM | 03/16/2012 10:30 AM |
| RR Donnelley SEC Hot Topics Institute Joanne R. Soslow, Co-Chair |
Seminars | 09/20/2012 | 09/20/2012 |
| Investors’ Circle 2012 Fall Venture Fair & Forum Sponsor |
Conferences and Speeches | 10/24/2012 | 10/25/2012 |
| IMPACT 2012 Conference Sponsor |
Conferences and Speeches | 11/07/2012 | 11/08/2012 |
| SEC and FINRA 2012 Year in Review Anne C. Flannery, Robert J. Bittman, and Andrew Southerling, presenters |
Webinars | 02/21/2013 03:00 PM | 02/21/2013 04:15 PM |
| youngStartUp Ventures’ 2013 Life Sciences and Healthcare Venture Summit Sponsor |
Conferences and Speeches | 03/20/2013 | 03/20/2013 |
| 13th Annual A. A. Sommer, Jr. Lecture on Corporate, Securities, and Financial Law Morgan Lewis is a proud sponsor of this event. |
Conferences and Speeches | 04/18/2013 06:30 PM | 04/18/2013 08:00 PM |
| 2013 NJTC/Rutgers University Entrepreneur Bootcamp Sponsor |
Conferences and Speeches | 04/23/2013 | 04/23/2013 |
| 2013 youngStartUp Ventures New York Venture Summit Sponsor |
Conferences and Speeches | 06/17/2013 | 06/18/2013 |
| New Jersey Law Journal In-House CLE Seminar Prashanth "P.J." Jayachandran, speaker |
Seminars | 06/18/2013 | 06/18/2013 |
| 2013 North American South Asian Bar Association Conference Prashanth "P.J." Jayachandran, speaker |
Conferences and Speeches | 06/21/2013 | 06/21/2013 |
| 2013 Early Stage East — Club Pitch Commerce Conference Sponsor |
Conferences and Speeches | 09/26/2013 | 09/26/2013 |
| 2013 IMPACT Venture Summit – Call for Presenting Companies Sponsor |
Conferences and Speeches | 10/22/2013 | 10/23/2013 |