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01/18/08 Compliance Issues in Electric Reliability: NERC's Compliance Monitoring and Enforcement Program and Recent Reliability Standards Developments, presented at the FERC Compliance Summit 2008, Washington, D.C.

Presentation | Speech
Floyd Norton, IV

01/18/08 Responding to a Federal Investigation: Are you prepared for a full-blown crisis?, presented at the FERC Compliance Summit 2008, Washington, D.C.

Presentation | Speech
Amy Conway-Hatcher

01/17/08 Dealing With Natural Gas Compliance Issues, presented at FERC Compliance Summit 2008, Washington, D.C.

Presentation | Speech
Karol Newman

Quarterly Developments in National Competition Laws: Germany, Wirtschaft und Wettbewerb

Outside Publications | Article
Christian Zschocke, Jürgen Beninca

04/17/07 Portfolio Trading and Best Execution, presented at the NRS 22nd Annual Spring Compliance Conference, Orlando, FL

Presentation | Speech
Steven Stone

03/23/07 Best Execution and Trading Issues, presented at the 9th Annual IA Compliance Best Practices Summit 2007, Washington, D.C.

Presentation | Speech
Steven Stone

03/22/07 Wrap Fee/SMA Accounts: What You Need to Know Today, presented at the 9th Annual IA Compliance Best Practices Summit 2007, Washington, D.C.

Presentation | Speech
Monica Parry

12/05/06 Emerging Issues with Model Based Programs, presented at the Legal/Regulatory Affairs Conference for General Counsels and Chief Compliance Officers, Washington, D.C.

Presentation | Speech
Steven Stone

11/16/06 Patent Holders Facing Fewer Risks: Implications of Dagher, Illinois Tool, Philips, and Schering-Plough, presented at the ABA Section of Antitrust Law Fall Forum, Washington, D.C.

Presentation | Speech
Willard Tom

11/15/06 Trading and Market Structure Issues, presented at the 2006 Investment Company Directors' Conference, San Francisco and Washington, D.C.

Presentation | Speech
John Ayanian

11/09/06 Evaluating and Improving Annual Reviews, presented at NRS' Protecting Your Firm from SEC Scrutiny, Greenwich, CT

Presentation | Speech
Steven Stone

10/24/06 New Rules of the Road for Brokers Offering Investment Advice, presented at the FRA's Dual Registrant Symposium, New York

Presentation | Speech
Steven Stone

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

10/19/06 Financial Planning Issues, presented at the 2006 NSCP National Membership Meeting, Washington D.C.

Presentation | Speech
John Ayanian

10/19/06 Supervision of Trading Desk Activities, presented at the 2006 NSCP National Membership Meeting, Washington D.C.

Presentation | Speech
Steven Stone

10/16/06 Supervisory Control Procedures: The Compliance Deadline Was Only the Beginning, presented at the Broker Dealer Week's Annual Fall Compliance Conference, Washington, D.C.

Presentation | Speech
Steven Stone

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

10/04/06 Examination Crisis Management: What to Do When There Are Problems, presented at the NRS Fall 2006 Compliance Conference, Scottsdale, AZ

Presentation | Speech
Steven Stone

10/04/06 Procedural Prudence, presented at the ERISA Litigation Roundtable, New York

Presentation | Speech
Christopher Weals

09/19/06 Risk Management and Compliance Challenges in the Global Investment Funds Industry, presented at the International Bar Association Conference, Chicago

Presentation | Speech
W. McGuire


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