John V. Ayanian
Email: jayanian@morganlewis.com
- Washington, D.C.
-
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5946
Fax: 202.739.3001
Publications
| Date | Type | Title |
| 03/22/2012 | Presentation | Outsourcing in the Financial Services Industry |
| 05/06/2010 | Presentation | Bank Regulatory Examinations, presented at the SIFMA Compliance & Legal Society 2010 Annual Seminar, Washington, D.C. |
| 01/27/2010 | LawFlash/Client Alert | SEC Proposes Amendments to Issuer Repurchase Rule (Rule 10b-18) |
| 10/06/2009 | Presentation | Conflicts of Interest [Small Firms], presented at the NSCP National Membership Meeting, Philadelphia |
| 09/16/2009 | Presentation | Broker-Dealer Session, presented at the Compliance Roundtable Seminar, Philadelphia |
| 09/14/2009 | Presentation | Advisor Regulatory Panel, presented at the First Clearing LLC Fall 2009 Compliance Roundtable |
| 05/06/2009 | Presentation | Essential Business, Legal, and Regulatory Considerations, presented at the Second Annual Outsourcing in the Financial Services Seminar, New York |
| 03/25/2009 | Presentation | Workshop: Mutual Funds–Solving Problems, presented at the SIFMA Compliance & Legal Division’s 2009 Annual Seminar, Phoenix, AZ |
| 03/18/2009 | LawFlash/Client Alert | Back to Basics: FINRA Issues 2009 Examination Priorities |
| 11/14/2008 | Presentation | Current Topics for Investment Advisers, presented at the First Clearing Correspondent Services Compliance Roundtable, Washington, D.C. |
| 06/30/2008 | LawFlash/Client Alert | SEC Proposes Major Revisions to Rule 15a-6 |
| 05/16/2008 | LawFlash/Client Alert | FINRA Issues Proposals on Rulebook Consolidation |
| May 2008 | Outside Publication | Outsourcing in the Securities Industry: Assessing the Regulatory Landscape, Wall Street Lawyer, Vol. 12, Issue 5 |
| 01/11/2008 | LawFlash/Client Alert | FINRA Amends NYSE Rule 342.13: Eliminates Cut-Off Date for Recognition of Series 24 |
| 11/13/2007 | Presentation | Current Concerns for Investment Advisory Compliance, presented at the First Clearing LLC Compliance Roundtable, Washington, D.C. |
| 10/22/2007 | Presentation | Transitioning to a Post-Rule 202(a)(11)-1 Environment, presented at the 2007 NSCP National Membership Meeting, Washington, D.C. |
| 09/28/2007 | Presentation | Securities Industry and Financial Markets Association, presented at the Research Management Conference, New York |
| 06/19/2007 | Presentation | Putting the Pieces Together, presented at SIFMA's Research Analyst Symposium, New York |
| 05/23/2007 | Presentation | Surviving an Examination by the NASD/SEC, presented at the Fifth Annual BISA Conference, Washington, D.C. |
| 11/15/2006 | Presentation | Trading and Market Structure Issues, presented at the 2006 Investment Company Directors' Conference, San Francisco and Washington, D.C. |
| 10/19/2006 | Presentation | Financial Planning Issues, presented at the 2006 NSCP National Membership Meeting, Washington D.C. |
| 07/19/2006 | Presentation | Legal á la Carte - Outsourcing and Financial Services: Regulatory and Commercial Considerations, New York |
| 06/19/2006 | Outside Publication | In Securities Deals, Plan for the Regulators: Know the rules and avoid delay. Legal Times |
| 03/08/2006 | Presentation | The Regulatory Landscape, presented at the Outsourcing in Financial Services Conference, New York |
| 03/06/2006 | Presentation | New Broker-Dealer CEO Certification and Supervisory Control Rules, presented at the Bank Insurance & Securities Association Annual Convention, Hollywood, FL |
| 02/28/2006 | Presentation | Supervisory Controls and CEO Certification, presented at the BD Week Audio Conference |
| 02/21/2006 | Presentation | Supervisory Controls and CEO Certification, presented at the First Clearing Compliance Symposium |
| 02/17/2006 | Presentation | Hiring Practices: Compliance and Risk Management, presented at the NASD Institute at Wharton - Branch Office Management Program, New York |
| 10/25/2005 | Presentation | Developing and Vetting New Products, presented at the NSCP National Membership Meeting, Alexandria, VA |
| 06/08/2005 | Presentation | Broker-Dealers’ New Supervisory Control Rules: Bank Insurance & Securities Association, presented at the 2005 BISA Regulatory & Compliance Conference, Washington, D.C. |
| 02/28/2005 | Presentation | Session I(b)BD Supervisory Rule Requirements, presented at the National Society of Compliance Professionals, Inc. 2005 NSCP Southern Regional Meeting |
| 02/25/2005 | Presentation | Hiring Practices: Compliance and Risk Management, presented at the NASD Institute - Branch Office Management Symposium |
| October 2003 | Outside Publication | Latest SRO Research Analyst Rules Create More Challenges for Firms, The Wall Street Lawyer, Vol. 7, No. 5 |
| 11/14/2002 | Presentation | What Are Investment Banks Doing to Avoid Analyst Conflicts? |
| November/December 2002 | Outside Publication | More SRO Research Analyst Rulemaking on the Horizon, NSCP Currents |
| 06/06/2002 | Presentation | The Search for Best Execution in Today's Market Environment |
| May 2002 | Outside Publication | NASDR and NYSE Tackle Research Analyst Practices... But Are Their New Rules Workable? Wall Street Lawyer, Vol. 5, No. 12 |
| 02/01/2002 | Presentation | Corporate Bond Market Transparency
and Debt Mark-Up Regulation, presented to the Bond Market Association's Regional Bond Dealer's Management Conference, Orlando, FL |