Morgan Lewis

Securities Regulation Publications of Interest

Related Publications

04/30/12 Jumpstart Our Business Startups Act (JOBS Act), presented at the 15th Annual Federal Securities Forum
(pdf)
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
02/01/12 Recent SEC Regulation FD Enforcement Action Relevant to Redemptions
Utility and other energy companies that have publicly held securities outstanding need to consider SEC disclosure requirements if they plan to redeem these securities.
View all publications

Related News

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.
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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21 Publications Found
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04/30/12 Jumpstart Our Business Startups Act (JOBS Act), presented at the 15th Annual Federal Securities Forum

Presentation | Speech
Alan Singer

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

Presentation | Speech
Ben Indek

02/01/12 Recent SEC Regulation FD Enforcement Action Relevant to Redemptions

LawFlash/Client Alert | Energy Transactions LawFlash
Stephen Kinney, Jr., Thomas Giblin, Jr.

Utility and other energy companies that have publicly held securities outstanding need to consider SEC disclosure requirements if they plan to redeem these securities.

January 2012 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers

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

01/18/12 Compliance Officer Liability, presented to the ABA SRO Subcommittee, New York

Presentation | Speech
Ben Indek

12/02/11 Securities Regulatory Regime, presented at the University of Vermont, Burlington, VT

Presentation | Speech
Ben Indek

02/10/11 The SEC Speaks 2011: Aggressive Enforcement to Continue Post-Reorganizational and Legislative Changes

LawFlash/Client Alert | Securities LawFlash
Christian Bartholomew, E. Andrew Southerling, Patrick Conner

At the annual "The SEC Speaks" conference on February 4 in Washington, D.C., the Securities and Exchange Commission (SEC or the Commission) Chairman Mary Schapiro and senior officials from the Division of Enforcement reported on... more

01/28/11 Analysis of the SEC Staff’s Study on Investment Advisers and Broker-Dealers

LawFlash/Client Alert | Investment Management FYI
Laura Flores, Steven Stone

Late in the evening on Friday, January 21, the Securities and Exchange Commission (SEC) Staff released its Study on Investment Advisers and Broker-Dealers (the Study), which was required by Section 913 of the Dodd-Frank Wall S... more

01/27/11 2010 Year in Review: SEC and SRO Enforcement Developments Regarding Broker-Dealers

LawFlash/Client Alert | Securities LawFlash
Litigation Practice

The Morgan Lewis Securities Litigation and Enforcement Practice has published an outline highlighting selected U.S. Securities and Exchange Commission (the SEC or the Commission), Financial Industry Regulatory Authority (FINRA),... more

01/10/11 SEC Proposes Exemptions for Certain Private Fund Advisers

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
John O'Brien, Ethan Johnson

Certain fund advisers that fit narrow definitions would be exempt from registration requirements imposed by the Dodd-Frank Act, but would still be required to comply with extensive recordkeeping and reporting obligations.

12/22/10 SEC Enters Into First Nonprosecution Agreement as Part of Its New Cooperation Initiative

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

On December 20, the Securities and Exchange Commission (SEC or the Commission) announced that it had entered into the first nonprosecution agreement under its year-old cooperation initiative. more

07/21/10 Derivative Reform Enacted Into Law

LawFlash/Client Alert | Financial Regulatory Reform LawFlash
Thomas D'Ambrosio

Sweeping derivative reform legislation contains momentous changes to the way swaps and security-based swaps are regulated and reported.

January 2010 The Securities and Exchange Commission Announces New Cooperation Initiative

Morgan Lewis Title | White Paper
E. Andrew Southerling, Kevin Rover, Ben Indek, Christian Mixter, Patrick Conner

On January 13, 2010, the Securities and Exchange Commission (SEC or Commission) announced a series of new measures designed to encourage individuals and companies to cooperate in Enforcement Division (the Division) investigation... more

10/14/09 Regulatory Update, presented at the 2009 IAA Fall Compliance Workshop, New York

Presentation | Speech
Jennifer Klass

06/29/09 Financial Regulatory Reform Proposal: Hedge Funds, Private Equity Funds, Venture Capital Firms May Be Required to Register with SEC

LawFlash/Client Alert | Business and Finance LawFlash
Business and Finance Practice

On June 17, the Obama administration released its recommendations to reform the financial regulatory system: Financial Regulatory Reform-A New Foundation: Rebuilding Financial Supervision and Regulation . The recommendations p... more

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

Outside Publication | Article
Christian Mixter, Laura Flores

December 2007 SEC Approves Amendments to Rule 144

Morgan Lewis Title | 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 proposed in July. The Fi... 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 provides that... more

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

Outside Publication | Article
Steven Stone

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

Outside Publication | Article
Monica Parry, Ryan Helmrich

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

Outside Publication | Article
Kathleen Collins

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