Outside Publication | Article
John O'Brien, Sean Graber, Michael Philipp, Laura Flores

Presentation | Speech
Andrew Donohue, Steven Stone

Morgan Lewis partners Steven Stone and Andrew Donohue presented at the ICMA 2012 Annual Conference in National Harbor, MD (outside Washington, DC). The rapid pace of re... more

Presentation | Speech
Michael Piracci, Andrew Donohue, P. Georgia Bullitt, Michael Philipp

On March 19, 2012 Morgan Lewis presented the ICI Conference Breakfast Briefing.  This conference highlighted what registered investment companies need to know about the CFTC implementation of Dodd-Frank and beyond. T... more

LawFlash/Client Alert | Tax LawFlash
William Colgin, Jr., William Gorrod

Taxpayers may come into compliance with Texas state and local taxes without penalties or interest during the amnesty period of June 12, 2012 through August 17, 2012.

Outside Publication | Article
Stephen Mahinka, Kenneth Kliebard, Ivan Harris, Christian Mixter, Kathleen Collins, Timothy Lynch

Presentation | Speech
Ethan Johnson, Rebecca Leon

Outside Publication | Article
Stephen Kinney, Jr., Thomas Giblin, Jr.

LawFlash/Client Alert | Securities LawFlash
Anthony Fassano, Laura Hughes, Nicholas Schretzman, Brian Herman, John Vassos

In 2011, the Supreme Court and the federal circuit courts issued a number of important decisions concerning securities fraud class actions. These decisions address pleading standards, statutes of limitations defenses, class certification, and a number of other critical topics.

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, F. Mindy Lo, Laura Flores

Investment advisers operating registered investment companies and private funds that conduct more than a de minimis amount of speculative trading in futures, commodity options, and other commodity interests will no longer be exempt from registering with the CFTC as CPOs.

LawFlash/Client Alert | Investment Management LawFlash
Michael Piracci, F. Mindy Lo, Laura Flores

CFTC requests comments on proposed rules intended to harmonize certain CFTC and SEC disclosure, reporting, and recordkeeping requirements in an effort to mitigate the burden on registered investment companies required to comply with the two separate compliance regimes.

Presentation | Speech
Andrew Donohue

Topics discussed included: Dodd-Frank Act Rules Funds' use of derivatives Target Date Fund Rules Shareholder reports simplification more

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, I. Lee Falk, Donald Myers, Craig Bitman, Daniel Kleinman

Final regulation provides a number of helpful clarifications and changes, but continues to impose what will be a highly burdensome disclosure framework.

Outside Publication | Article
Andrew Donohue

Morgan Lewis Title | White Paper
Investment Management Practice

This Outline highlights key U.S. Securities and Exchange Commission (the "SEC" or the "Commission") enforcement developments and cases involving investment advisers and investment companies during 2011. Summary of Key Statist... more

LawFlash/Client Alert | Class Actions LawFlash
Litigation Practice

Second Circuit sidesteps Concepcion and holds that the ability to enforce federal statutory rights mandates that a plaintiff be allowed to pursue a class action in court notwithstanding the parties' agreement to mandatory arbitration.

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Michael Richman, Donald Myers, Daniel Kleinman

Final regulation on required disclosures by plan service providers extends deadline for disclosures to July 1, 2012.

LawFlash/Client Alert | Securities LawFlash
Alex Kaplan, E. Andrew Southerling, Shaina Stahl, Sarah Nilson, David Snider, Casey Cohen, Ben Indek, Julia Miller, Charles Manice, Ivan Harris, Anne Flannery, Katarzyna Mularczyk, John Matthews, Kevin Rover, Julie Marcacci, Todd Smith, Kerry Land, Mary Dunbar, Nicholas Losurdo, Rahul Rao

In 2011, the SEC and FINRA continued their vigorous enforcement of the securities laws, resulting in an increase in enforcement cases brought against broker-dealers, with a 60% increase in such SEC enforcement actions and a 13.5% increase in FINRA disciplinary actions since 2010.

Presentation | Speech
Anne Flannery, Andrew Donohue, Jennifer Klass, Steven Stone

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

Morgan Lewis Title | White Paper
Stephen Mahinka, Kenneth Kliebard, Kelly Moore, Ivan Harris, Christian Mixter, Kathleen Collins, Joanna Hendon

On January 4, President Obama, via a recess appointment, installed Richard Cordray as the Director of the Consumer Financial Protection Bureau (CFPB or the Bureau). The appointment was the latest battle in what promises to be a "... more

Presentation | Speech
W. John McGuire

Morgan Lewis partner, W. John McGuire, will serve as a panelist, presenting Spotlight on ETFs at the ICI Securities Law Developments Conference, Washington, D.C. more

LawFlash/Client Alert | Employee Benefits and Investment Management LawFlash
Employee Benefits and Investment Management Practices

The U.S. Department of Labor (DOL) has adopted a final regulation to implement the statutory exemption from the prohibited transaction rules of the Employee Retirement Income Security Act of 1974, as amended (ERISA), for the pro... more

LawFlash/Client Alert | Securities LawFlash
Sa Liao, David Sirignano, Howard Kenny

On November 17, Institutional Shareholder Services Inc. (ISS), a leading provider of corporate governance solutions to the global financial community, released its final 2012 updates to its proxy voting guidelines, which will be... more

LawFlash/Client Alert | Foreign Corrupt Practices Act LawFlash
Benjamin Klein, Tiffany Johnson

At the 26th annual National Conference on the Foreign Corrupt Practices Act (FCPA), held November 8 and 9, 2011, officials from the Department of Justice (DOJ) and the Securities and Exchange Commission (SEC) stressed that both ... more

LawFlash/Client Alert | Investment Management LawFlash
John O'Brien, Monica Parry, Ethan Johnson

On October 26 and October 31, the U.S. Securities and Exchange Commission (SEC) and Commodity Futures Trading Commission (CFTC), respectively, approved rules that will require certain investment advisers to report extensive info... more