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Presentation | Speech
Alan Singer
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, Doreen Davis, 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
Morgan Lewis Title | White Paper
John Vassos, Brian Herman, Karen Pohlmann, Marc Sonnenfeld
Morgan Lewis is pleased to present our fourth annual review of selected decisions from the U.S. Courts of Appeal addressing private actions under the federal securities laws. We summarize below key decisions analyzing claims... more
Morgan Lewis Title | White Paper
E. Andrew Southerling, Shaina Stahl, Casey Cohen, Ben Indek, Julia Miller, Charles Manice, David Snider, Anne Flannery, Katarzyna Mularczyk, John Matthews, Kevin Rover, Julie Marcacci, Todd Smith, Ivan Harris, Kerry Land, Mary Dunbar, Nicholas Losurdo, Rahul Rao
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 2011. ... more
Presentation | Speech
Ben Indek
Presentation | Speech
Ben Indek
LawFlash/Client Alert | Securities LawFlash
Securities Practice
Below are planning reminders for foreign private issuers of the earlier Annual Report on Form 20-F filing deadline and the requirement to provide financial statement information in interactive data format using the eXtensible Bu... more
LawFlash/Client Alert | Investment Management and Restructuring LawFlash
Joshua Blackman, Robert Mendelson
On October 31, the Securities Investor Protection Corporation (SIPC) filed for a protective order under the Securities Investor Protection Act (SIPA) for MF Global Inc., a company registered jointly as an Securities and Exchange... more
Outside Publication | Article
R. Dawson, Sheryl Orr
LawFlash/Client Alert | Securities LawFlash
Securities Practice
On June 13, in an important victory for the investment management industry, the U.S. Supreme Court held that mutual fund adviser Janus Capital Management LLC (JCM) and its parent, Janus Capital Group, Inc. (JCG), could not be he... more
LawFlash/Client Alert | Securities LawFlash
Jason Wilson, Ben Indek, Christian Mixter, Jill Baisinger, Karen Pohlmann, Marc Sonnenfeld
On March 22, the U.S. Supreme Court rejected a line of lower-court cases holding that statistically insignificant adverse event reports could not be material to the reasonable investor, see In re Carter-Wallace, Inc., Sec. Li... more
Presentation | Speech
Steven Stone
LawFlash/Client Alert | Securities LawFlash
Christian Bartholomew, E. Andrew Southerling, Patrick Conner
At the annual "The SEC Speaks" conference on February 4 in Washington, D.C., the Securities and Exchange Commission (SEC or the Commission) Chairman Mary Schapiro and senior officials from the Division of Enforcement reported on... more
Presentation | Speech
Michael Philipp
LawFlash/Client Alert | Investment Management FYI
Laura Flores, Steven Stone
Late in the evening on Friday, January 21, the Securities and Exchange Commission (SEC) Staff released its Study on Investment Advisers and Broker-Dealers (the Study), which was required by Section 913 of the Dodd-Frank Wall S... 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 (the SEC or the Commission), Financial Industry Regulatory Authority (FINRA),... more
LawFlash/Client Alert | Financial Regulatory Reform LawFlash
John O'Brien, Ethan Johnson
Certain fund advisers that fit narrow definitions would be exempt from registration requirements imposed by the Dodd-Frank Act, but would still be required to comply with extensive recordkeeping and reporting obligations.
LawFlash/Client Alert | Securities LawFlash
Ivan Harris, Ben Indek, Christian Mixter, Meredith Auten
On December 20, the Securities and Exchange Commission (SEC or the Commission) announced that it had entered into the first nonprosecution agreement under its year-old cooperation initiative. more
Outside Publication | Chapter
Michael Philipp
Presentation | Speech
Michael Philipp