Morgan Lewis

Broker-Dealer and Capital Markets Regulation Publications of Interest

5 Publications Found
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11/06/08 Tracker Impact Analysis: SEC Fines LPL Financial Corporation for Regulation S-P Violations, Complinet

Outside Publications | Article
Ben Indek, Michael Kraut, Namita Mani

07/30/08 Investment Management Brochure

Marketing Material | Brochure
Investment Management & Securities Industry Group

04/25/08 Broker-Dealer Regulatory Update - As of April 25, 2008

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Investment Management Practice

11/09/07 Broker-Dealer Regulatory Update - As of November 9, 2007

LawFlash/Client Alert | Broker-Dealer Regulatory Update
Broker-Dealer

11/09/07 MSRB Issues Guidance Regarding Revisions to Its Supervisory Rules

LawFlash/Client Alert | Securities Industry FYI
Broker-Dealer Practice

On November 8, 2007, the Municipal Securities Rulemaking Board (MSRB) issued Notice 2007-32 with guidance pertaining to amendments to its supervision rule, Rule G-27. The Notice stated that the amendments, whic... more

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