Publications of Interest > Securities Litigation and Enforcement > Securities Industry > Industries > Practices : Morgan, Lewis & Bockius

11/06/08 Tracker Impact Analysis: SEC Fines LPL Financial Corporation for Regulation S-P Violations, Complinet

Outside Publications | Article
Ben Indek, Michael Kraut, Namita Mani

10/27/08 The War on Rumors at the SEC and CFTC, Securities Regulation and Law, Vol. 40, No. 42

Outside Publications | Article
Christian Mixter

10/17/08 Defending an SEC Administrative Proceeding, presented at the ALI-ABA Webcast on SEC and State Enforcement and Litigation

Presentation | Speech
Christian Mixter

10/17/08 SEC Administrative Enforcement Litigation in FY 2008, presented at the ALI-ABA Webcast on SEC and State Enforcement and Litigation

Presentation | Speech
Christian Mixter

10/15/08 SEC Lifts the Veil on Its Enforcement Process by Publishing Enforcement Manual

LawFlash/Client Alert | Securities LawFlash
Ivan Harris, Ben Indek, Christian Mixter

In an effort to make its processes more transparent, last week the SEC made public its Division of Enforcement Manual. Substantial sections of the 122-page manual will be familiar to veterans of the Division of... more

10/05/08 The Emergency Economic Stabilization Act of 2008: Impact of the Historic New Law

LawFlash/Client Alert | Financial Crisis Impact and Analysis Alert
Business and Finance Practice

The Emergency Economic Stabilization Act of 2008 (the “Act”) was signed into law by President Bush on October 3, 2008. Passage of the Act was the result of intense debate in both the U.S. Senate and the U.S. Ho... more

09/24/08 Supervision Challenges in a Changing Electronic World, presented at the SIFMA Electronic Communications and Records Forum, New York

Presentation | Speech
Ben Indek

09/11/08 New Ninth Circuit Decision Makes Alleging Scienter Easier for Plaintiffs

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

August 2008 U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments

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

07/30/08 Investment Management Brochure

Marketing Material | Brochure
Investment Management & Securities Industry Group

January 2008 2007 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers

White Paper | Morgan Lewis White Paper
Ben Indek, Anne Flannery, Michael Kraut

This outline highlights selected U.S. Securities and Exchange Commission (“SEC” or the “Commission”), NASD, NYSE Regulation, and Financial Industry Regulatory Authority (“FINRA”) enforcement actions and develop... more

01/17/08 Supreme Court Affirms Limitations on Third-Party Liability for Securities Fraud

LawFlash/Client Alert | Litigation LawFlash
Litigation

On January 15, 2008, in Stoneridge Investment Partners, LLC v. Scientific-Atlanta, Inc. , the Supreme Court affirmed in a 5-3 opinion the Eighth Circuit Court of Appeals’ decision, which dismissed claim... more

08/01/07 The D.C. Circuit’s Remand of the SEC’s Order Sustaining an NASD Disciplinary Proceeding Puts Focus on the Standard for SEC Review of Sanctions Imposed by SROs

LawFlash/Client Alert | Securities LawFlash
Securities Industry

A recent opinion by the D.C. Circuit in PAZ Securities, Inc. v. SEC , No. 05-1467 (D.C. Cir. July 20, 2007), has dealt yet another blow in what had been, until a mere 18 months ago, the NASD’s and other SROs’ vi... more

11/20/06 Don't Start a Backdating Witch Hunt, Legal Times, Vol. 29, No. 47

Outside Publications | Article
Christian Bartholomew

11/13/2006 Securities Industry Association, presented at the Compliance and Legal Division Fall Compliance Seminar, New York

Presentation | Speech
Ben Indek

10/19/06 BD Regulatory Audits: What You Need to Know, presented at the NSCP 2006 National Membership Meeting, Washington, D.C.

Presentation | Speech
Ben Indek

10/17/06 Welcome Remarks to the Seventh Annual A.A. Sommer, Jr. Corporate Securities & Financial Law Lecture, New York

Presentation | Speech
Ben Indek

10/12/06 Putting the Effective in Your Compliance Program, presented at the SIA Compliance & Legal Division Regional Seminar, Washington, D.C.

Presentation | Speech
Ben Indek

06/20/06 Managing Conflicts Within Financial Institutions, presented at the NYSE Regulation Second Annual Securities Conference, New York

Presentation | Speech
Anne Flannery

06/19/06 Electronic Communications Best Practices, presented at the NYSE Regulation Second Annual Securities Conference, New York

Presentation | Speech
Ben Indek

06/01/06 Securities Arbitration & Mediation, presented at the City Bar Association Seminar, New York

Presentation | Speech
Anne Flannery

05/19/06 Research Analyst Issues, presented at the NASD Spring Conference, Hollywood, FL

Presentation | Speech
Anne Flannery

05/11/06 Managing Antitrust Matters in the Modern Corporate Governance Era, presented at the ABA Antitrust Section & City Bar Seminar, New York

Presentation | Speech
Anne Flannery

05/01/06 BD Hot Buttons, presented at the NSCP 2006 East Coast Regional Meeting, New York

Presentation | Speech
Ben Indek

03/22/06 Document Retention Standards - Building Your Model, presented at the SIA C&L 2006 Annual Seminar, Hollywood, FL

Presentation | Speech
Ben Indek

03/08/06 Best Practices of Very Small Firms, presented at the NASD Small Firm Conference, New York

Presentation | Speech
Ben Indek

10/24/05 2005 Industry Overview "What's New and Hot?" presented at The 2005 NSCP National Meeting, Alexandria, VA

Presentation | Speech
Ben Indek

08/25/05 Recent Developments in Securities Litigation

LawFlash/Client Alert | Securities Industry FYI
Securities Industry Practice

This LawFlash is an overview of recent developments in securities litigation, including general developments, mutual fund proceedings, electronic discovery and email retention.

This LawFlash discuss... more

07/14/05 NASD Rule 3013 (CEO Certification) NRS, "Getting NASD Rules 3012, 3013 and Amended 3010 Under Control" Conference, New York

Presentation | Speech
Ben Indek

06/22/05 Supervision of Electronic Communications, presented at the New York Stock Exchange Regulation First Annual Securities Conference, New York

Presentation | Speech
Ben Indek

05/24/05 Enforcement Hot Topics, presented at The NASD Spring Securities Conference, Chicago

Presentation | Speech
Ben Indek

05/10/05 Enforcement Aspects of Sarbanes-Oxley; given by NIAF Institute for International Law - International Legal Conference - Common Legal Issues Facing Italy & America: Corporate Governance & Intellectual Property, Rome

Presentation | Speech
John Peloso

04/05/05 Litigating with S.R.O.'s, presented at the Securities Industries Association Compliance & Legal Division 2005 Annual Seminar, Palm Desert, CA

Presentation | Speech
Ben Indek

03/10/05 The NASD CEO Certification Rule, NRS' Broker/Dealer Conference - CEO Now Stands for "Certifying" Executive Officer in Orlando, FL

Presentation | Speech
Ben Indek

02/28/05 BD Regulatory Audits, presented at The National Society of Compliance Professionals 2005 Southern Regional Meeting, Atlanta

Presentation | Speech
Ben Indek

02/16/05 Due Process and Self-Regulation, New York Law Journal

Outside Publications | Article
Ben Indek, John Peloso

02/03/05 Supervision and Supervisory Structure: A Legal and Regulatory Approach; NASD Institute for Professional Development - Supervision in the Financial Services Industry Symposium, New York

Presentation | Speech
Ben Indek

11/10/04 The Examination Process, presented at the SIA Compliance and Legal Division Fall Compliance Seminar

Presentation | Speech
Ben Indek

10/27/04 BD Supervision, presented at the 2004 NSCP National Meeting

Presentation | Speech
Ben Indek

10/13/04 Outline of Issues for a Biotech Company to Consider in Preparing for an IPO

Presentation | Speech
Andrew Gilbert, Steven Cohen

06/04/04 Navigating the Compliance/Regulatory and Employment Law Minefield, presented at the HRM Committee SIA

Presentation | Speech
Ben Indek

04/15/04 Appellate Court Ratchets Up State Role in Securities Law Prosecution, New York Law Journal

Outside Publications | Article
Ben Indek, John Peloso

April 2004 Securities Disclosure: Disclosing Product Developments to Investors, Insights: The Corporate and Securities Law Advisor, Vol. 18, No. 4

Outside Publications | Article
Marc Sonnenfeld, Karen Pohlmann, Phoebe Mounts

02/19/04 Outside Directors and Red Flags, New York Law Journal

Outside Publications | Article
Ben Indek, John Peloso

02/06/03 D&O Exposure After Sarbanes-Oxley: Evaluating Risk in the New Regulatory Environment

Presentation | Speech

February 2002 Enron Implosion Places Spotlight on Public Disclosure Obligations

White Paper | Morgan Lewis White Paper
David Sirignano, George Yearsich, Linda Griggs

Investor confidence in financial reporting may be declining as a result of a series of high profile scandals involving accounting frauds and misleading or inaccurate financial disclosures by public companies, particularly th... more

01/25/02 Outline of Issues to Consider in Preparing for an IPO, presented at the NJTC Capital Conference

Presentation | Speech
Steven Cohen

July 2001 Morgan Lewis: Partnering With New Economy Clients, The Metropolitan Corporate Counsel

Outside Publications | Article
Peter Watt-Morse, Marlee Myers, David Gerson

10/25/00 The Bond Market Transparency Initiative and Debt Mark-Up Regulation, presented at The Bond Market Association Legal and Compliance Conference, New York

Presentation | Speech
John Ramsay

07/01/00 On-Line Brokerage and the Search for Suitability

Presentation | Speech
John Ramsay

June 2000 New Statutory Regulations for Clean-up of Contaminated Land in England and Wales

White Paper | Morgan Lewis White Paper
Environmental Industry

A new era in environmental law in England and Wales has begun. On February 16, 2000, the Secretary of State for the Environment, Transport and the Regions (DETR) issued long-expected statutory guidance and regulations (R... more

September 1999 United States Supreme Court Issues Decision in Grupo Mexicano de Desarrollo, S.A. de C.V. v. Alliance Bond Fund

White Paper | Morgan Lewis White Paper
Securities

On June 17, 1999, Morgan, Lewis & Bockius LLP received a favorable decision for firm client Grupo Mexicano de Desarrollo, S.A. in the United States Supreme Court.

The case, Grupo Mexicano de Desarrollo, S... more

August 1999 Circuit Courts Address Standards For Pleading Scienter In Dismissing Complaints, The Metropolitan Corporate Counsel

Outside Publications | Article
Marc Sonnenfeld, Karen Pohlmann

05/01/98 Access to the United States Public Capital Markets for Mexican Companies, presented at the American Chamber of Commerce of Mexico, Mexico City, Mexico

Presentation | Speech

February 1998 Amendments to SEC Beneficial Ownership Reporting Requirements: Availability of Schedule 13G to Passive Investors

White Paper | Morgan Lewis White Paper
George Yearsich

In its January 12, 1998 Release, the Securities and Exchange Commission (SEC) adopted amendments to its rules under Section 13(d) of the Securities Exchange Act of 1934 relating to the reporting of 5 percent or more ben... more

January 1998 Exchange Offers of Equity Securities by Foreign Private Issuers, The Metropolitan Corporate Counsel

Outside Publications | Article
Eduardo Vidal, Jose Fraga

05/27/97 The SEC's Plain English Initiative, presented to the Philadelphia Bar Association Business Law Section Committee on Securities Regulation, Philadelphia

Presentation | Speech
James W. McKenzie, Jr., Brian J. Lynch

May 1997 Practical Considerations for Companies Making Forward-Looking Statements, The Metropolitan Corporate Counsel

Outside Publications | Article
Eric Kline, David Gerson

03/24/97 Securities Law Aspects of Partnerships, LLCs, and LLPs, presented at the 22nd Annual Advanced ALI-ABA Course of Study, New Orleans, LA

Presentation | Speech
George Yearsich

01/08/97 Securities Laws and Related Issues, presented at the 1997 Church Alliance Seminar, Washington, D.C.

Presentation | Speech
Kathryn McGrath, Lawrence Stadulis, Bradley Paulson

12/18/96 The SEC's Plain English Initiative, presented at The Price Waterhouse General Counsel Forum, Philadelphia

Presentation | Speech
N. Jeffrey Klauder, James W. McKenzie, Jr.

12/04/96 Access to the U.S. Public Capital Markets for Argentine Companies, presented at the Global Capital Markets Seminar, Buenos Aires, Argentina,(presented in Spanish)

Presentation | Speech

07/26/96 Strategic Alliances in International Project Financing, presented at the Practising Law Institute's Strategic Alliances Conference, New York

Presentation | Speech

April 1996 Representing Foreign Private Issuers in the United States, Practical Lawyer, Vol. 4, No. 8

Outside Publications | Article
Eduardo Vidal, Felix Sotomayor, Jose Fraga of Skadden Arps

03/15/96 Securities Law Aspects of Partnerships, presented at the 21st Annual ALI-ABA Course of Study, Boston

Presentation | Speech
Gregory S. Feis, R. Nicholas Singh, Sally A. LaFond

03/12/96 Foreign Issuer-Related Provisions of the United States Private Securities Litigation Reform Act of 1995, presented at the American Chamber of Commerce of Mexico

Presentation | Speech
Jeffrey S. Hellman

02/23/96 Asset Securitization in Latin America, presented at the IX Annual Conference on Doing Business in Latin America, New Approaches: Looking to the 21st Century, Miami

Presentation | Speech
Horacio E. Gutierrez-Machado

01/01/96 Litigation-Related Provisions of the Securities Litigation Reform Act of 1995

White Paper | Morgan Lewis White Paper
Lisa Wager

Title 1 of the Act, captioned Reduction of Abusive Litigation, focuses on abuses involving the use of "professional plaintiffs" and the race to the courthouse to file the complaint. It substantially impacts who... more

01/01/96 Securities and Auditor-Related Provisions of the Securities Litigation Reform Act of 1995

White Paper | Morgan Lewis White Paper
Lisa Wager

In response to concerns that public companies have been unduly deterred from disclosing relevant information about future performance, the Act provides two significant exemptions from liability under the anti-fraud prov... more

12/16/95 Constructing a Safe Harbor for Soft Information, presented at The University of Arizona College of Law, Tucson, AZ

Presentation | Speech
A. A. Sommer, Jr.

12/12/95 Management Discussion and Analysis of Financial Condition and Results of Operation, presented at The SEC Institute 11th Annual SEC Reporting Forum, Washington, D.C.

Presentation | Speech
Linda Griggs

11/14/95 In depth study of federal regulation of securities lawstatement, presented before the Telecommunications and Finance Subcommittee of the Commerce Committee of the United States House of Representatives, Washington, D.C.

Presentation | Speech
A. A. Sommer, Jr.

11/06/95 Independent Directors: An Impossible Dream?, presented at the 1995 IRRC Annual Forum, Washington, D.C.

Presentation | Speech
A. A. Sommer, Jr.

11/01/95 Window of Opportunity for Reclassification of Investment Securities Under FASB Statement No. 115

White Paper | Morgan Lewis White Paper
Linda Griggs

This white paper describes a window of opportunity through December 31, 1995 for the reclassification of investment securities under Statement of Financial Accounting Standards No. 115 (Statement 115). On Novem... more

10/27/95 Strengthening Independence - The Tools at Hand, presented at the Sixth Annual Conference on Financial Reporting, Haas School of Business, University of California, Berkeley, San Francisco

Presentation | Speech
A. A. Sommer, Jr.

05/25/95 After Legislative Reform: What Next? Presented at the SEC and Financial Reporting Institute, University of Southern California, School of Accounting, Pasadena, CA

Presentation | Speech
A. A. Sommer, Jr.

05/10/95 Reflections on Self-Regulation, presented at the FIBV - Sao Paulo Stock Exchange Workshop, Sao Paulo, Brazil

Presentation | Speech
A. A. Sommer, Jr.

10/18/94 Limited Liability Companies and Partnerships in the District: New Opportunities for Professionals and Others, presented at the District of Columbia Bar Seminar, Washington, D.C.

Presentation | Speech
Frank R. Goldstein, Catherine M. Saadeh

07/11/94 Rules of the Road, presented at a symposium on securities market regulations and supervision, Manila, Philippines

Presentation | Speech
A. A. Sommer, Jr.

02/01/94 SEC Staff Issues Interpretations Regarding Accounting for Disclosures About Loss Contingencies: ML&B White Paper

White Paper | Morgan Lewis White Paper
Linda Griggs

12/07/93 The 1992 Proxy and Executive Compensation Reform Initiatives and Their Implications for Corporate Governance, presented at The SEC Institute's 9th Annual SEC Reporting Forum, Washington, D.C.

Presentation | Speech
Catherine T. Dixon

11/18/93 Special Legal Rules Affecting U.S. Investors in Vietnam, presented at the Doing Business With U.S. Investors in Vietnam Conference, co-sponsored by the Chamber of Commerce and Industry of Vietnam and the U.S.-Vietnam Business Council, Inc., Hanoi

Presentation | Speech
John I. Forry, Thomas J. Samuelian

08/25/93 Securities Law Aspects of Partnerships, presented at the ALI-ABA Partnership Seminar, Santa Fe, NM

Presentation | Speech
Gregory S. Feis, Peter A. Fish, Jeffrey P. Mahoney

08/01/93 SEC Clarifies Rules on Use of Employer Securities to Eliminate or Reduce Employers' Accounting Liability for Postretirement Medical Costs Under FAS 106: ML&B White Paper

White Paper | Morgan Lewis White Paper
Linda Griggs

01/28/93 A Practical Look at the SEC's New Executive Compensation Rules: What are Issuers Really Doing? Presented at Philadelphia Bar Association, Business Law Section, Committee on Securities Regulations, Philadelphia

Presentation | Speech
Brian J. Lynch

01/14/93 The New Executive Compensation and Proxy Rules, presented at an ML&B Seminar, Washington, D.C.

Presentation | Speech
George Yearsich, Linda Griggs

10/01/92 The SEC Adopts Amendments to its Proxy Rules to Foster Shareholder Communications: ML&B White Paper

White Paper | Morgan Lewis White Paper
David R. King, Steven C. Root, Robert B. Murphy

08/12/92 The Challenge of Accountability, presented at the Annual Luncheon of the American Accounting Association, Washington, D.C.

Presentation | Speech
A. A. Sommer, Jr.

08/11/92 Recent Federal and State Securities Laws Issues Affecting Partnerships, presented at American Bar Association Section of Business Law, 1992 Annual Meeting, San Francisco

Presentation | Speech
Frank R. Goldstein, Jeffrey P. Mahoney

05/20/92 Financial Statements for Proposed or Consummated Acquisitions, The Role of the Lawyer in Advising on SEC Accounting Requirements, sponsored by the Law and Accounting Committee, Section on Corporation, Finance and Securities Law, presented the Bar Association of Washington D.C.

Presentation | Speech
Linda Griggs

12/01/91 The Federal Deposit Insurance Corporation Improvement Act of 1991 - A Memorandum for Clients and Friends of the Firm: ML&B White Paper

White Paper | Morgan Lewis White Paper
James Hunter, Jr., Linda Griggs

04/01/91 New York Enacts Revised Limited Partnership Law: ML&B White Paper

White Paper | Morgan Lewis White Paper
David Nichols, Jr.

04/01/91 New York Enacts Revised Limited Partnership Law: ML&B White Paper

White Paper | Morgan Lewis White Paper
David Nichols, Jr.

03/01/91 Amendments to Rules Under Section 16 of the Securities Exchange Act of 1934: Transition to the New Rules -- Checklist of Pre-May 1, 1991 Actions: Morgan, Lewis & Bockius White Paper

White Paper | Morgan Lewis White Paper
George Yearsich

12/01/90 Trust Indenture Reform Act of 1990: Morgan, Lewis & Bockius White Paper

White Paper | Morgan Lewis White Paper
Linda Griggs

07/01/90 The United States Court Of Appeals For The District Of Columbia Circuit Vacates Securities And Exchange Commission Rule 19c-4, The 'One-Share, One-Vote' Rule: Morgan, Lewis & Bockius White Paper

White Paper | Morgan Lewis White Paper
A.A. Sommer, Jr., Peter A. Fish

02/01/90 State of California Anti-Apartheid Disclosure Law

White Paper | Morgan Lewis White Paper
Bartley J. Breinin

This memorandum discusses the various disclosure and filing requirements under the new California Anti-Apartheid Disclosure Law and the emergency implementing regulations that went into effect on January 1, 1990.more

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