Morgan Lewis

Securities Regulation Publications of Interest

Related Publications

09/15/08 Corporate Governance: An Overview of Public Company Requirements (updated)
07/30/08 Investment Management Brochure
(pdf)
December 2007 SEC Approves Amendments to Rule 144
View all publications

Related News

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.
06/09/05 Morgan Lewis Continues Expansion with Addition of Two Partners: Employment and Securities Litigators Bolster Growing National Financial Services Practice
Morgan Lewis announced today that Daryl S. Landy and Joseph E. Floren are joining the firm's Palo Alto and San Francisco offices, continuing the firm's California expansion.
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8 Publications Found
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09/15/08 Corporate Governance: An Overview of Public Company Requirements (updated)

White Paper | Morgan Lewis White Paper
Stephen Farrell

The Sarbanes-Oxley Act of 2002 has had a dramatic effect on public companies. Sarbanes-Oxley, which became law on July 30, 2002, was the first comprehensive federal legislation to impose significant corporate g... more

07/30/08 Investment Management Brochure

Marketing Material | Brochure
Investment Management & Securities Industry Group

December 2007 SEC Approves Amendments to Rule 144

White Paper | Morgan Lewis White Paper
Business and Finance

On November 15, 2007 , the Securities and Exchange Commission (SEC) approved amendments to Rule 144 under the Securities Act of 1933, as amended (the Securities Act), substantially as the amendments were propose... more

03/02/06 SEC Proposes Amendments to Redemption Fee Rule

LawFlash/Client Alert | Securities Industry FYI
Securities Industry

On February 28, the Securities and Exchange Commission (SEC) proposed amendments to Rule 22c-2 under the Investment Company Act of 1940. In addition to permitting mutual funds to charge redemption fees, Rule 22c-2 provid... more

08/01/05 The Role of Investment Advisers in Client Class Action Claims, Investment Adviser Association Newsletter

Outside Publications | Article
Steven Stone, Ryan Helmrich

January 2005 The Pitfalls of Performance-Based Fees: Lessons Learned from Bridgeway Capital Management, The Investment Lawyer

Outside Publications | Article
Monica Parry, Ryan Helmrich

Winter 2005 The Rush to Regulate, Bank Insurance & Securities Marketing

Outside Publications | Article
Kathleen Collins

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

Presentation | Speech

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