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Outside Publication | Article
Richard Morris, Sean Graber, Timothy Levin
LawFlash/Client Alert | Securities LawFlash
Gail Pierce, Linda Griggs
Public companies are encouraged to rigorously analyze SEC guidance prior to disseminating material information via social media.
LawFlash/Client Alert | Securities LawFlash
Stephen Farrell
Companies must comply with certain final NYSE and NASDAQ listing rules by July 1.
LawFlash/Client Alert | Securities LawFlash
E. Andrew Southerling, Benjamin Klein
Changing SEC leadership defines its priorities for a new era of SEC enforcement.
Presentation | Webinar
Richard Morris, Joshua Blackman, Ivan Harris, Jennifer Klass, Thomas Linthorst
Morgan Lewis's Investment Management Practice presented this timely discussion of key developments in the SEC's enforcement program, including a summary of important cases against investment advisers, private fund advisers, and... more
Outside Publication | Article
Michael Piracci, Dana Westfall, Michael Philipp
A detailed explanation of the Commodity Futures Trading Commission's (CFTC's) Division of Swap Dealer and Intermediary Oversight's (DSIO) no-action letters providing relief from Commodity Pool Operator (CPO) registration for family offices and fund of funds operators.
LawFlash/Client Alert | Securities LawFlash
Richard Morris, Jennifer Klass, Mary Dunbar, Ivan Harris, Ben Indek, Anne Flannery
In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations—with cases against broker-dealers, investment advisers, and investment companies accounting for 38% of the SEC enforcement docket and FINRA bringing a record number of enforcement actions against its member firms and associated persons.
Morgan Lewis Title | White Paper
James Doench, Richard Morris, Katherine Milgram, Kaitlyn Piper, Jennifer Klass, Namita Mani, Kimberly Hicks, Julia Miller, Heather Hopkins, Anne Flannery, Lindsay Jackson, Katarzyna Mularczyk, Ivan Harris, Julie Marcacci, Todd Smith, Joshua Blackman, Kerry Land, Mary Dunbar, Nicholas Losurdo, John Matthews, David Behar, F. Mindy Lo, Zachary Vonnegut-Gabovitch, Ben Indek
This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") and Financial Industry Regulatory Authority ("FINRA") enforcement developments and cases regarding broker-dealers during 2012. ... more
LawFlash/Client Alert | Securities LawFlash
Albert Lung, Linda Griggs, David Sirignano
Companies are required to comply with certain of the new listing standards relating to compensation adviser independence by July 1, 2013.
LawFlash/Client Alert | International Trade and Economic Sanctions LawFlash
Margaret Gatti, Louis Rothberg, Linda Griggs, Timothy Rolland
Mandatory requirements cover actions of issuers' foreign subsidiaries and affiliates.
LawFlash/Client Alert | Investment Management LawFlash
Mark Fitterman, Dana Westfall, Ignacio Sandoval, Robert Mendelson, P. Georgia Bullitt, Michael Philipp, Michael Piracci
Order grants exemptive relief from Exchange Act requirements; parallel CFTC relief expected soon.
LawFlash/Client Alert | Securities LawFlash
Amy Pandit, Albert Lung, David Sirignano
New listing standards to require additional independence criteria for compensation committee members and assessment of independence of compensation advisers.
LawFlash/Client Alert | Tax LawFlash
Paul Gordon, Richard Zarin, George Yearsich, Casey August, Stephen Farrell, Kenneth Kail, William Zimmerman, Linda Griggs, David Sirignano
Changes in tax opinion standards have altered how tax counsel should be implemented in complex securities offerings.
LawFlash/Client Alert | Securities LawFlash
Amy Pandit, David Sirignano
Most public issuers engaged in the commercial development of oil, natural gas, or minerals must disclose certain payments made to U.S. federal and foreign governments and should implement systems to track these payments.
LawFlash/Client Alert | Securities LawFlash
Alan Singer
Proposed rule amendments permit general solicitation and general advertising in Rule 506 and Rule 144A offerings but raise challenges for verification of accredited investor status of Rule 506 purchasers.
Morgan Lewis Title | White Paper
Linda Griggs
On August 22, 2012, the Securities and Exchange Commission (the SEC) adopted annual disclosure requirements that implement Section 1502 of the Dodd-Frank Wall Street Reform and Consumer Protection Act (Dodd-Frank), which requires... more
Presentation | Speech
Alan Singer
LawFlash/Client Alert | Capital Markets LawFlash
Vasilisa Strizh, Carter Brod, Roman Dashko
Amendments are more favorable to borrowers than those recently proposed by the Ministry of Finance, but they provide an exemption only for bonds issued before 1 January 2014.
Outside Publication | Chapter
Vasilisa Strizh, Carter Brod, Roman Dashko
LawFlash/Client Alert | Business and Finance LawFlash
Jan Klumb, Ann Baker, Rima Maîtrehenry, Ethan Johnson, Torsten Schwarze, William Yonge, Rebecca Leon
Long-awaited amendments to the EU regime governing public offers of securities take effect on 1 July 2012.
LawFlash/Client Alert | Cross-Practice Alert
Timothy Lynch, Linda Griggs
The Supreme Court decision in Citizens United v. Federal Election Commission , 558 U.S. —, 130 S.Ct. 876 (2010), lifted long-standing limits on corporate and labor union political spending. Prior to Citizens United , ... more
LawFlash/Client Alert | Securities LawFlash
Gail Pierce, Linda Griggs, David Sirignano
Legislation exempts emerging growth companies from certain financial disclosure and governance requirements for up to five years and provides a new form of financing to small companies.
Presentation | Speech
Ben Indek
Outside Publication | Article
Stephen Kinney, Jr., Thomas Giblin, Jr.
Presentation | Speech
Rebecca Leon
On February 3, 2012, Morgan Lewis of counsel Rebecca Leon presented on a panel entitled "Session IX: Developments in Asset Management" at the International Business & Finance Summit (IBFS) at the Abaco Beach Resort at Boat ... more