Morgan Lewis

Securities Regulation

Related Publications

01/22/13 SEC Reporting for Certain 2012 Iran-Related Transactions
Mandatory requirements cover actions of issuers' foreign subsidiaries and affiliates.
03/06/12 Compliance Department Responsibilities, Arbitration Trends and Current FINRA Examination Issues, presented at the FINRA New York Regional Office Training Session, New York
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Related News

02/27/13 Q&A With Morgan Lewis' Justin Chairman, Law360
Business and Finance partner Justin Chairman participates in Law360's Q&A series.
01/01/10 Law360 Names Morgan Lewis as a Top Securities Defense Firm for 2009
Law360 selected Morgan Lewis as one of five top securities defense firms of the year, citing the firm's capacity for combining counseling and transactional securities law with dispute litigation and enforcement.
12/05/05 Partner Anne C. Flannery Returns to Morgan Lewis
Anne C. Flannery, most recently First Vice President and General Counsel for Global Regulatory Affairs with Merrill Lynch, has returned as a partner in the firm’s New York office.
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The Securities Regulation Practice provides advice in all areas relating to the application of federal and state securities laws, including public and private securities offerings; compliance with federal periodic reporting and proxy requirements; structured securities (including hybrid securities and commodity futures products); and mergers, tender offers, proxy contests and "going private" transactions.

Our lawyers regularly provide advice and assistance with difficult accounting issues, Section 16 questions, and interpretations and issues relating to new and novel types of securities, including all forms of derivative securities. A major component of our practice involves advising and representing broker-dealers and investment advisers about regulatory and compliance matters as well as advising investment companies, such as mutual funds and their sponsors and advisers in connection with fund formation. Many of our lawyers are experienced in market structure and trading issues, including the regulation of proprietary trading systems, trading and compliance issues relating to fixed income securities. Our lawyers also have substantial knowledge in programs that cross from securities products to investment advice, such as "wrap-fee" arrangements.

We have an active practice before the Securities and Exchange Commission, which includes representing witnesses and targets in SEC investigations and enforcement proceedings. In conjunction with the Litigation Practice, this area includes representations in litigated criminal, administrative, and civil proceedings. We also have substantial experience in seeking interpretive advice and no-action positions from the Commission under the Securities Act of 1933, the Securities Exchange Act of 1934, the Public Utility Holding Company Act of 1935, the Investment Company Act of 1940, and the Investment Advisers Act.

A number of lawyers in the firm have held senior positions at the Securities and Exchange Commission. Among the firm's partners are a former Director and a former Associate Director of the Division of Investment Management, an Associate Director of the Division of Market Regulation in charge of Market Structure and Trading Practices, an Assistant Director of the Division of Enforcement, two Chief Counsel to the Chief Accountant and a Special Counsel to the Chairman of the Commission.