Morgan Lewis

Broker-Dealer and Capital Markets Regulation

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Related Publications

02/07/13 Select SEC and FINRA Cases and Developments: 2012 Year in Review
In 2012, the SEC and FINRA continued their vigorous enforcement of the securities laws, rules, and regulations—with cases against broker-dealers, investment advisers, and investment companies accounting for 38% of the SEC enforcement docket and FINRA bringing a record number of enforcement actions against its member firms and associated persons.
February 2013 Select Broker-Dealer, Investment Adviser, and Investment Company Enforcement Cases and Developments: 2012 Year in Review
12/28/12 SEC Permits Portfolio Margining of Credit Default Swaps
Order grants exemptive relief from Exchange Act requirements; parallel CFTC relief expected soon.
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In broker-dealer and securities markets matters, our lawyers provide a full range of services to participants in the financial markets and routinely advise clients on a broad spectrum of issues involving broker-dealer regulation and securities trading. We have substantial experience in market structure, trading, and other regulatory issues, including the regulation of national securities exchanges, electronic communications networks (ECNs) and alternative trading systems (ATSs), and compliance issues, including those relating to fixed-income securities and capital markets activities.