Ben A. Indek
Email: bindek@morganlewis.com
- New York
-
101 Park Avenue
New York, NY 10178-0060
Phone: 212.309.6109
Fax: 212.309.6001
Publications
| Date | Type | Title |
| 03/18/2012 | Presentation | Ethical Considerations for the Compliance Department Lawyer, presented at the 2012 SIFMA Compliance & Legal Society Annual Seminar, Miami |
| 03/18/2012 | Presentation | Examinations from the Regulators’ Perspective, presented at the 2012 SIFMA Compliance & Legal Society Annual Seminar, Miami |
| 03/06/2012 | Presentation | Compliance Department Responsibilities, Arbitration Trends and Current FINRA Examination Issues, presented at the FINRA New York Regional Office Training Session, New York |
| 02/01/2012 | LawFlash/Client Alert | Select SEC and FINRA Broker-Dealer Cases and Developments: 2011 Year in Review |
| January 2012 | Morgan Lewis Title | 2011 Year in Review: SEC and FINRA Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 01/18/2012 | Presentation | Compliance Officer Liability, presented to the ABA SRO Subcommittee, New York |
| 12/02/2011 | Presentation | Securities Regulatory Regime, presented at the University of Vermont, Burlington, VT |
| 11/04/2011 | Presentation | Securities Compliance and Examinations for Broker-Dealers, Advisors, and Funds, presented at the ALI-ABA Conference on Life Insurance Company Products, Washington, D.C. |
| 10/27/2011 | Presentation | Opening Remarks, presented at the 12th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities and Financial Law,
New York |
| 10/18/2011 | Presentation | Regulatory Examinations (Large Firms), presented at the National Society of Compliance Professionals 2011 National Meeting, Baltimore, MD |
| 05/06/2011 | Presentation | The Evolving Role of the Compliance Officer, presented at the Futures Industry Association Law & Compliance Conference |
| 03/23/2011 | LawFlash/Client Alert | U.S. Supreme Court: Manufacturer Can Be Sued for Failing to Disclose Adverse Reports |
| 02/01/2011 | Presentation | Regulatory Risk Management at the NSCP - SEC Training Day, Washington, D.C. |
| January 2011 | Morgan Lewis Title | 2010 Year in Review: SEC and SRO
Selected Enforcement Cases and
Developments Regarding Broker-Dealers |
| 12/22/2010 | LawFlash/Client Alert | SEC Enters Into First Nonprosecution Agreement as Part of Its New Cooperation Initiative |
| 11/16/2010 | Presentation | Retail Brokerage and Advisory Issues, presented at the SIFMA Compliance and Legal Society 2010 Fall Compliance and Legal Seminar, New York |
| 11/02/2010 | Presentation | Enforcement Workshop, presented at the 2010 NSCP National Membership Meeting,
Baltimore, Maryland |
| August 2010 | Morgan Lewis Title | 2010 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 06/07/2010 | Presentation | Dialogue with Area Regulators, presented at the NSCP East Coast Regional Membership Meeting |
| 05/06/2010 | Presentation | Conflicts Management, presented at the SIFMA Compliance and Legal Society
2010 Annual Seminar, National Harbor, Maryland |
| 02/25/2010 | Outside Publication | Enforcement Developments Regarding Broker-Dealers, Law360 Guest Column |
| January 2010 | Morgan Lewis Title | 2009 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| January 2010 | Morgan Lewis Title | The Securities and Exchange Commission Announces New Cooperation Initiative |
| 11/18/2009 | Presentation | Retail Brokerage and Advisory Issues: New Products, New Problems?, presented at the SIFMA Compliance & Legal Division 2009 Fall Compliance Seminar, New York |
| 10/28/2009 | Presentation | Opening Remarks, presented at the 10th Annual A.A. Sommer, Jr. Lecture on Corporate, Securities, and Financial Law, New York |
| 10/06/2009 | Presentation | Dealing with Regulatory Enforcement, presented at the NSCP National Membership Meeting, Philadelphia |
| July 2009 | Morgan Lewis Title | 2009 Mid-Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 03/30/2009 | Presentation | Supervisory Responsibilities, presented at the NSCP East Coast Regional Conference, Boston |
| 03/23/2009 | Presentation | Regulatory Securities Examinations and Inquiries: The Firm’s Perspective, presented at the SIFMA Compliance and Legal Division 2009 Annual Seminar, Phoenix, AZ |
| 03/18/2009 | LawFlash/Client Alert | Back to Basics: FINRA Issues 2009 Examination Priorities |
| 03/05/2009 | LawFlash/Client Alert | FINRA Proposes Significant Changes to Forms U4 and U5 |
| 02/05/2009 | Outside Publication | 2008 SEC and SRO Enforcement Year in Review, Complinet |
| January 2009 | Morgan Lewis Title | 2008 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 11/11/2008 | Presentation | Retail Brokerage and Advisory Issues, presented at the SIFMA Compliance and Legal Division 2008 Fall Compliance Seminar, New York |
| 11/06/2008 | Outside Publication | Tracker Impact Analysis: SEC Fines LPL Financial Corporation for Regulation S-P Violations, Complinet |
| 10/21/2008 | Presentation | The Regulatory Enforcement Process, presented at the 2008 NSCP National Membership Meeting, Philadelphia |
| 10/15/2008 | LawFlash/Client Alert | SEC Lifts the Veil on Its Enforcement Process by Publishing Enforcement Manual |
| 09/24/2008 | Presentation | Supervision Challenges in a Changing Electronic World, presented at the SIFMA Electronic Communications and Records Forum, New York |
| August 2008 | Morgan Lewis Title | U.S. SEC, FINRA and NYSE Regulation: Mid-Year Review – Selected Broker-Dealer Enforcement Cases and Developments |
| 06/10/2008 | Presentation | Conducting Internal Investigations, presented at the FINRA Institute at Wharton, New York |
| 05/08/2008 | Presentation | Emerging Regulatory Trends Facing Member Firms and Hedge Funds, presented at the NYSE Regulation-Division of Enforcement and Risk Group Offsite Conference, New York |
| 05/06/2008 | LawFlash/Client Alert | SEC Fires Another Warning Shot Over Insider Trading Policies and Procedures |
| 04/18/2008 | Presentation | Conducting Internal Investigations, presented at FINRA Class Room Learning: Compliance Essentials, New York |
| 04/02/2008 | Presentation | Electronic Communications, presented at the SIFMA C&L Annual Seminar, Orlando, FL |
| January/February 2008 | Outside Publication | 2007 Year In Review: SEC and SRO Enforcement Cases and Developments Regarding Broker-Dealers, NSCP Currents |
| January 2008 | Morgan Lewis Title | 2007 Year in Review: SEC and SRO Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 11/13/2007 | Presentation | The Examination Process from the Regulators' Perspective, presented at the SIFMA-CL Fall "New SRO FINRA" Compliance Seminar, New York |
| 10/17/2007 | Presentation | Ethics for Compliance Officers, presented at the 2007 NSCP National Membership Meeting, Washington, D.C. |
| 09/20/2007 | Presentation | Meeting the Supervisory Challenge, presented at Complinet's New York Summit, New York |
| Summer 2007 | Morgan Lewis Title | U.S. SEC, NASD, and NYSE Regulation: Selected Enforcement Cases and Developments in the First Half of 2007 Regarding Broker-Dealers |
| 06/07/2007 | Presentation | Designing an Effective Retail Compliance Program, presented at SIFMA's 2007 Chicago Regional Seminar, Chicago |
| 04/23/2007 | Presentation | BD Regulatory Audits, presented at the NSCP East Coast Meeting, Boston
|
| 03/26/2007 | Presentation | Electronic Communications, presented at the SIFMA Compliance & Legal Division's 2007 Annual Seminar, Phoenix |
| February 2007 | Morgan Lewis Title | The Regulatory Examination Process |
| January 2007 | Morgan Lewis Title | 2006 In Review: SEC, NASD, and NYSE Regulation: Selected Enforcement Cases and Developments Regarding Broker-Dealers |
| 11/13/2006 | Presentation | Securities Industry Association, presented at the Compliance and Legal Division Fall Compliance Seminar, New York |
| 10/19/2006 | Presentation | BD Regulatory Audits: What You Need to Know, presented at the NSCP 2006 National Membership Meeting, Washington, D.C. |
| 10/17/2006 | Presentation | Welcome Remarks to the Seventh Annual A.A. Sommer, Jr. Corporate Securities & Financial Law Lecture, New York |
| 10/12/2006 | Presentation | Putting the Effective in Your Compliance Program, presented at the SIA Compliance & Legal Division Regional Seminar, Washington, D.C. |
| 09/29/2006 | Presentation | NASAA Annual Conference, presented at the Report on Enforcement and Examination Issues |
| 06/19/2006 | Presentation | Electronic Communications Best Practices, presented at the NYSE Regulation Second Annual Securities Conference, New York |
| 05/01/2006 | Presentation | BD Hot Buttons, presented at the NSCP 2006 East Coast Regional Meeting, New York |
| 03/22/2006 | Presentation | Document Retention Standards - Building Your Model, presented at the SIA C&L 2006 Annual Seminar, Hollywood, FL |
| 03/08/2006 | Presentation | Best Practices of Very Small Firms, presented at the NASD Small Firm Conference, New York |
| January 2006 | Morgan Lewis Title | 2005 NASD, NYSE, and SEC Enforcement Developments |
| 11/17/2005 | Presentation | Welcome Remarks to the Sixth Annual A.A. Sommer, Jr. Corporate Securities and Financial Law Lecture, presented at Fordham University School of Law, New York |
| 11/09/2005 | Presentation | The Examination Process, presented at SIA C&L Fall Compliance Seminar, New York |
| October 2005 | Outside Publication | The New York Stock Exchange and Cooperation: Another Precinct Heard From, Journal of Investment Compliance, Vol. 6 No. 2 |
| 10/25/2005 | Presentation | NASD and NYSE Investigations from Start to “Wells” Type Notices: Working with Regulators in Your Client’s Best Interest, presented at the American Conference Institute's Broker-Dealer Enforcement Actions Conference, New York |
| 10/24/2005 | Presentation | 2005 Industry Overview "What's New and Hot?" presented at The 2005 NSCP National Meeting, Alexandria, VA |
| 10/19/2005 | Outside Publication | Ethical Minefield: Multiple Representation in Government Probes, New York Law Journal |
| October 2005 | Morgan Lewis Title | The New York Stock Exchange and Cooperation —
Another Precinct Heard From
|
| 08/18/2005 | Outside Publication | Securities Litigation and Enforcement: Appellate Review of SEC Administrative and SRO Decisions, New York Law Journal |
| 07/14/2005 | Presentation | NASD Rule 3013 (CEO Certification) NRS, "Getting NASD Rules 3012, 3013 and Amended 3010 Under Control" Conference, New York |
| 06/22/2005 | Presentation | Supervision of Electronic Communications, presented at the New York Stock Exchange Regulation First Annual Securities Conference, New York |
| 06/16/2005 | Outside Publication | Failure to Cooperate: Offense or Defense, New York Law Journal |
| 05/24/2005 | Presentation | Enforcement Hot Topics, presented at The NASD Spring Securities Conference, Chicago |
| 05/02/2005 | Presentation | BD Regulatory Audits, National Society of Compliance Professionals 2005 East Coast Regional Meeting, New York |
| 04/05/2005 | Presentation | Litigating with S.R.O.'s, presented at the Securities Industries Association Compliance & Legal Division 2005 Annual Seminar, Palm Desert, CA |
| 03/10/2005 | Presentation | The NASD CEO Certification Rule, NRS' Broker/Dealer Conference - CEO Now Stands for "Certifying" Executive Officer in Orlando, FL |
| 02/28/2005 | Presentation | BD Regulatory Audits, presented at The National Society of Compliance Professionals 2005 Southern Regional Meeting, Atlanta |
| 02/16/2005 | Outside Publication | Due Process and Self-Regulation, New York Law Journal |
| 02/03/2005 | Presentation | Supervision and Supervisory Structure: A Legal and Regulatory Approach; NASD Institute for Professional Development - Supervision in the Financial Services Industry Symposium, New York |
| 2004 | Outside Publication | Establishment and Maintenance of a Supervisory Structure (Chapter 4), Broker-Dealer Regulation (PLI) |
| 11/10/2004 | Presentation | The Examination Process, presented at the SIA Compliance and Legal Division Fall Compliance Seminar |
| 10/27/2004 | Presentation | BD Supervision, presented at the 2004 NSCP National Meeting |
| 10/21/2004 | Outside Publication | SEC Approves NASD's CEO Certification Rule, New York Law Journal |
| 10/13/2004 | Presentation | Recent Regulatory Scrutiny of Mutual Fund and Variable Annuity Sales Practices, presented at the NRS 19th Annual Compliance Conference |
| 06/25/2004 | Presentation | Hiring Practices: Compliance and Risk Management, presented at the NASD Institute Back Office Symposium |
| 06/17/2004 | Outside Publication | SEC Examination Privilege Rejected, New York Law Journal |
| 06/09/2004 | Presentation | Big Firms, Small Firms - When is "Enough" Supervision Enough?, presented at the Office of Financial Regulation/NASAA Broker/Dealer Training, Ft. Lauderdale, FL |
| 06/04/2004 | Presentation | Navigating the Compliance/Regulatory and Employment Law Minefield, presented at the HRM Committee SIA |
| 04/15/2004 | Outside Publication | Appellate Court Ratchets Up State Role in Securities Law Prosecution, New York Law Journal |
| 04/14/2004 | Presentation | NASD Field Office Examination Findings, presented at the NRS’ Nineteenth Annual Spring Compliance/Risk Management Conference, Bonita Springs, FL |
| 03/23/2004 | Presentation | Designing an Effective Retail Surveillance Program , presented at the SIA Compliance & Legal Division Fall Compliance Seminar, Phoenix |
| 02/23/2004 | Presentation | BD Regulatory Audits, presented at the NSCP Southern Membership Meeting, Atlanta |
| 02/19/2004 | Outside Publication | Outside Directors and Red Flags, New York Law Journal |
| 02/07/2004 | Presentation | Managing A Regulatory Crisis, presented at NRS Advanced Compliance Training, Washington, D.C. |
| 11/04/2003 | Presentation | Examination Priorities - SIA Compliance & Legal Division Fall Compliance Seminar |
| 10/30/2003 | Presentation | New BD Supervisory Rule Requirements, presented at the NSCP National Membership Meeting, Arlington, VA |
| 10/20/2003 | Outside Publication | Recent Developments in SEC Settlements, New York Law Journal |
| 10/17/2003 | Presentation | Market Regulation and Surveillance, presented at the NASD 2003 Fall Securities Conference, Scottsdale, AZ |
| 09/30/2003 | Presentation | Hiring Practices: Compliance and Risk Management - NASD Institute Phase II Branch Office Management Symposium |
| 06/27/2003 | Outside Publication | National Association of Securities Dealers' Certification Proposal, New York Law Journal |
| 04/07/2003 | Presentation | Supervision of Branch Managers, presented at the SIA Compliance & Legal Division Annual Seminar, Orlando, FL |
| 03/31/2003 | Presentation | Red Flag Review - NSCP East Coast Regional Membership Meeting |
| 02/26/2003 | Presentation | Regulatory Outlook- The Risk You Can’t Afford to Take - The Bond Market Association’s 13th Annual Regional Bond Dealers Management Conference, Orlando, FL |
| 02/20/2003 | Outside Publication | Supervising the Supervisor, New York Law Journal |
| 02/07/2003 | Presentation | Managing A Regulatory Crisis, presented at the NRS Advanced Compliance Training & Risk Management Techniques Conference, Washington, D.C. |
| December 2002 | Newsletter | SRO Proposals on Internal Controls and Sales Practice Supervision, Morgan Lewis on Securities December 2002 |
| 11/13/2002 | Presentation | Written Supervisory and Compliance Procedures, presented at the SIA Compliance & Legal Division Fall Compliance Seminar |
| November/December 2002 | Outside Publication | More SRO Research Analyst Rulemaking on the Horizon, NSCP Currents |
| 10/17/2002 | Outside Publication | NASD Sets Standards For Evaluating Delays in Disciplinary Proceedings, New York Law Journal |
| 10/09/2002 | Presentation | The Changing Dimensions of Supervisory Responsibility at Securities Firms |
| 10/02/2002 | Presentation | Advanced Concepts of Compliance, presented at the NSCP National Membership Meeting |
| September 2002 | Outside Publication | SRO Research Analyst Conflict of Interest Rules, NSCP Currents |
| 06/20/2002 | Outside Publication | Corporate Criminal Responsibility, New York Law Journal |
| 04/23/2002 | Presentation | Heightened Supervision, presented at the 2002 NASD Regulation Spring Securities Conference, Washington, D.C. |
| 04/23/2002 | Presentation | Registered Reps: Heightened Procedures for Pre-Hire, Retention, Termination and Audit and Exam Protocols, presented at the NRS Compliance Conference, NM |
| 04/17/2002 | Outside Publication | The Current SEC Enforcement Landscape, New York Law Journal |
| 03/13/2002 | Presentation | Customer Complaints, presented at the SIA Compliance & Legal Division Seminar, Orlando, FL |
| 02/21/2002 | Outside Publication | SRO Disciplinary Proceedings: How Much Delay is Unfair? New York Law Journal |
| 10/19/2001 | Outside Publication | Securities Regulators Respond Promptly and Effectively to Terrorist Attacks, New York Law Journal |
| 06/21/2001 | Outside Publication | A Question of Fairness, New York Law Journal |
| 06/13/2001 | Presentation | Variable Annuity and Class B Share Sales Practice and Supervisory Issues, presented to the New England Broker-Dealer and Investment Advisor Association |
| 05/24/2001 | Presentation | Regulatory Concerns: The SEC and NASD Examination and Enforcement Focus - National Regulatory Services, presented to the Branch Office Compliance Practices Conference |
| 02/17/2000 | Outside Publication | Recent SEC Rule Proposals Come Under Attack, New York Law Journal |
| 11/17/1999 | Presentation | Written Supervisory and Compliance Procedures, presented at the SIA Compliance & Legal Division Fall Seminar, New York |
| 10/19/1999 | Presentation | Regulations in the Making: Litigation and Enforcement Update, presented at the Institute for International Research, Broker-Dealer Electronic/Internet Compliance Forum, Boston |
| 09/01/1997 | Outside Publication | The SEC Recently Approved Modifications to the NASDR's Disciplinary Proceedings, Which Should Improve Due Process Protections for Respondents, The National Law Journal |
| 11/04/1995 | Presentation | Continuing the Debate: The SEC's Enforcement Program, presented at the Practising Law Institute's 27th Annual Institute on Securities Regulation, New York |