Steven W. Stone
Email: sstone@morganlewis.com
- Washington, D.C.
-
1111 Pennsylvania Ave., NW
Washington, DC 20004-2541
Phone: 202.739.5453
Fax: 202.739.3001
Publications
| Date | Type | Title |
| 01/31/2012 | Presentation | 2011 Year in Review: Asset Management Roundtable |
| 12/06/2011 | LawFlash/Client Alert | DOL Calls into Question Whether Boilerplate Indemnification Language in an IRA Brokerage Agreement Constitutes a Nonexempt Prohibited Transaction |
| 10/19/2011 | Presentation | New York GIPS Expert Series – CCO’s Survival Guide to GIPS Compliance, presented at the Harvard Club of New York |
| 09/19/2011 | Presentation | Wrap Fee Programs, presented for an OCIE Training Session |
| 08/02/2011 | LawFlash/Client Alert | SEC Adopts Large Trader Reporting System |
| 05/17/2011 | Presentation | The Evolving Role of the CCO in a New Era of Regulation, presented at NRS Education's 26th Annual Spring Investment Adviser and Broker-Dealer Compliance Conference, Miami |
| 03/28/2011 | LawFlash/Client Alert | SEC Staff Issues Guidance on “Pay-to-Play” Rule |
| March 2011 | Outside Publication | Analysis of the SEC Staff’s Study:
SEC Responds to Congress on a Uniform Fiduciary Standard for Investment Advisers and Broker-Dealers, Wall Street Lawyer |
| 03/04/2011 | Presentation | The New Adviser Disclosure Framework presented at the ALI-ABA Investment Adviser Regulation Conference |
| 02/17/2011 | Presentation | How Will Regulatory Change Affect the Positioning of Managed Solutions? presented at the MMI 2011 Sales & Marketing Leadership Summit |
| 02/09/2011 | Presentation | How will Regulatory Change Affect the Positioning of Managed Solutions?, presented at the MMI ERISA Leadership Summit, Orlando, FL |
| 01/28/2011 | LawFlash/Client Alert | Analysis of the SEC Staff’s Study on Investment Advisers and Broker-Dealers |
| 11/16/2010 | Presentation | Rule 206-4(2) Custody Webinar |
| 11/03/2010 | Presentation | Dual Registrant Issues, presented at the 2010 NSCP National Meeting |
| 11/01/2010 | Outside Publication | New SEC Brochure Highlights Professional Designations (read the paper) |
| 09/27/2010 | Presentation | Policy Considerations of Trade Errors, presented at the Ascendant Compliance Management Conference, Washington, D.C. |
| 09/01/2010 | LawFlash/Client Alert | SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure |
| 07/09/2010 | LawFlash/Client Alert | SEC Adopts Pay-to-Play Rule Under Investment Advisers Act |
| 06/03/2010 | Presentation | Soft Dollar Arrangements: Commission Sharing vs. Traditional Soft Dollar Arrangements & Other Current Issues, presented at an Investment Adviser Association Webcast |
| 05/25/2010 | Presentation | What To Do When The SEC Examiner Calls, presented at an Investment News Webcast |
| 05/24/2010 | LawFlash/Client Alert | Impact of Senate Financial Reform Bill on Retail Brokerage and Private Client Services |
| 05/20/2010 | Presentation | Regulatory Change for Our Managed Solutions Sector, presented at Money Management Institute 2010 Annual Convention, New York |
| 05/12/2010 | Presentation | Commissions Management: The Consortium, presented at the TraderForum 2010 Annual Conference, Chicago |
| 05/07/2010 | Presentation | Mutual Funds, Broker Dealers, and Investment Advisers: Risks and Approaches to a Changing Market Place, presented at the 42nd Annual Rocky Mountain Securities Conference, Denver, CO |
| 04/29/2010 | LawFlash/Client Alert | SEC’s Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers |
| 04/22/2010 | Presentation | Preparing for Regulatory Change in Private Client Services, presented at the SIFMA Private Client Conference, New York |
| 03/30/2010 | Presentation | Understanding the New Requirements Affecting RIAs, presented at a Rule 206-4(2) Custody Webinar |
| 03/14/2010 | Presentation | The Changing Landscape for Trading and Market Structure, presented at 2010 Mutual Funds and Investment Management Conference, Phoenix, AZ |
| 03/10/2010 | Presentation | Critical Elements of Commission Sharing Arrangements & Soft Dollars, presented at the Ascendant Investment Adviser Compliance Conference, Santa Monica, CA |
| 03/10/2010 | Presentation | Insider Trading: Creating a Safe Environment (SEC Top Risk), presented at the Ascendant Investment Adviser Compliance Conference, Santa Monica, CA |
| 02/25/2010 | Presentation | Current Soft Dollar Issues, presented at the IAA/ACA Investment Adviser Compliance Forum, Arlington, VA |
| 01/07/2010 | Presentation | Social Networking in the Securities Context, presented as an ALI-ABA Webinar |
| 10/19/2009 | Presentation | Looking Forward to 2010: Hot SEC Topics for Advisers, presented at the TD Ameritrade Institutional 2009 Fall Regional Conference, New York |
| 10/07/2009 | Presentation | Commission Sharing Agreements vs. Traditional Soft Dollar Agreements: What Has Changed?, presented at the NSCP National Membership Meeting, Workshop Session X(c)IA, Philadelphia |
| 09/23/2009 | Presentation | Preparing for an SEC Exam, presented at GIPS Standards Annual Conference 2009, Boston |
| 09/22/2009 | Presentation | Performance Advertising 101: Regulatory Do's and Don'ts, presented at GIPS Standards Annual Conference 2009, Boston |
| 09/21/2009 | Presentation | Investment Advisers: The Changing Regulatory Landscape, presented at an ALI-ABA Conference |
| 09/17/2009 | Presentation | Investment Advice Issues, presented at the SIFMA Annual Savings and Retirement Conference 2009, Washington, D.C. |
| 08/07/2009 | LawFlash/Client Alert | Proposed Rule under Investment Advisers Act Would Limit “Pay to Play” Practices |
| 07/17/2009 | LawFlash/Client Alert | Legislation Proposed by U.S. Treasury Would Require Private Fund Advisers to Register with the SEC |
| 07/15/2009 | Presentation | Cross-Border Webinar for the Financial Services Sector |
| 06/24/2009 | Presentation | Examination Protocols, presented at the SEC's International Institute for the Regulation and Inspection of Investment Advisers, Washington, D.C. |
| June 2009 | Outside Publication | The Madoff “Opportunity”: Harmonizing the Overarching Standard of Care for Financial Professionals Who Give Investment Advice, Wall Street Lawyer, Vol. 13, Issue 6 |
| 05/21/2009 | Presentation | An Update on Regulatory Issues, presented at the 7th Annual PMAR Conference, Philadelphia |
| 05/15/2009 | LawFlash/Client Alert | SEC Proposes Strengthening of Advisers Act Custody Rule |
| 05/14/2009 | Presentation | Washington Update, presented at the Trader Forum 2009 Annual Conference, Orlando, FL |
| 04/27/2009 | Presentation | SEC Inspection Priorities for Investment Advisers and Mutual Funds in the Wake of the Market Crisis, presented at the 2009 NRS Annual Spring Compliance Conference, Orlando, FL |
| 03/05/2009 | LawFlash/Client Alert | FINRA Proposes Significant Changes to Forms U4 and U5 |
| 02/24/2009 | LawFlash/Client Alert | SEC Requires Interactive Data Disclosure for Funds’ Risk/Return Summaries |
| February 2009 | Outside Publication | Model, Hypothetical, and Backtested Performance—Best Practices, Investment Performance Measurement Newsletter (click here to read the article) |
| 01/15/2009 | Presentation | Wrap Fee Programs and Separately Managed Accounts, presented at ALI-ABA's Investment Adviser Regulation Conference, New York |
| January 2009 | Outside Publication | Regulatory and Operational Considerations for U.S. Advisers Investing Abroad, IAA Newsletter: Compliance Corner |
| 12/18/2008 | LawFlash/Client Alert | SEC Staff Permit More Flexibility in the Use of Past Specific Recommendations |
| 11/11/2008 | LawFlash/Client Alert | SEC Adopts Interim Reporting Requirement for Short Sales |
| 10/21/2008 | Presentation | Amendments to Part 2 of Form ADV, presented at the NSCP National Membership Meeting, Philadelphia |
| 10/17/2008 | LawFlash/Client Alert | SEC Adopts Interim Reporting Requirement for Short Sales |
| 10/16/2008 | LawFlash/Client Alert | SEC Adopts Interim Close-Out Requirements for Short Sales |
| November 2008 | Outside Publication | SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule, Derivatives Financial Products Report |
| 09/25/2008 | LawFlash/Client Alert | SEC Staff Provides Guidance on Short Sale Emergency Orders: Supplement to FYIs of September 21 and 22, 2008 |
| 09/22/2008 | LawFlash/Client Alert | UPDATED as of 12:00 p.m. - SEC Emergency Orders: Implications for Buyside and Sellside Firms |
| 09/21/2008 | LawFlash/Client Alert | SEC Emergency Orders: Implications for Buyside and Sellside Firms |
| 08/13/2008 | LawFlash/Client Alert | SEC Proposes Guidance for Investment Company Boards of Directors on Adviser Trading Practices |
| 07/30/2008 | LawFlash/Client Alert | SEC and DOL Agree to Cooperate in Examinations |
| 07/22/2008 | LawFlash/Client Alert | SEC Staff Confirms that Hedge Fund Solicitors Are Not Subject to the Cash Solicitation Rule |
| 06/30/2008 | LawFlash/Client Alert | SEC Proposes Major Revisions to Rule 15a-6 |
| 06/25/2008 | Presentation | National Financial Risk and Regulatory Client Webinar: Proposed Regulation S-P Amendments |
| 05/16/2008 | LawFlash/Client Alert | FINRA Issues Proposals on Rulebook Consolidation |
| 04/10/2008 | Presentation | Trading Conflicts of Interests, presented at the IMS National Conference: The Next Step in Compliance - The Integration of Operations & Business Management, New Orleans, LA |
| 04/09/2008 | Presentation | The Globalization of Compliance: Special Program for Global Money Managers, presented at the IMS National Conference: The Next Step in Compliance - The Integration of Operations & Business Management, New Orleans, LA |
| 03/07/2008 | LawFlash/Client Alert | SEC Finally Publishes Proposed Amendments to Part 2 of Form ADV |
| 02/14/2008 | LawFlash/Client Alert | SEC Votes to Propose Amendments to Part 2 of Form ADV (Finally) |
| 12/06/2007 | Presentation | Trading and Market Structure Issues, presented at ICI's 2007 Securities Law Developments Conference, Washington, D.C. |
| 10/17/2007 | Presentation | Conflicts of Interest (Large Firms), presented at the 2007 NSCP National Membership Meeting, Washington, D.C. |
| 10/12/2007 | Presentation | Compliance Issues Impacting Institutional Investors, presented at the 2007 Equity, Fixed Income, and Derivatives Markets Conference, New York |
| 10/03/2007 | Presentation | SMAs: Wrapping Up Compliance Issues, presented at 2007 Institutional Investor's Legal Forum Global Roundtable, San Francisco |
| 10/02/2007 | Presentation | The Globalization of Compliance - Test Case: Global SMAs, presented at the IMS National Compliance Conference, Napa, CA |
| 06/07/2007 | Presentation | Current Best Execution, Trading, and Investment Opportunity Issues, presented at the Money Management Institute's Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance |
| 06/07/2007 | Presentation | International Issues, presented at the Money Management Institute's Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance |
| 05/23/2007 | Presentation | How Investment Firms Manage and Disclose Conflicts: What Do Regulators Expect?, presented at the Alliance Bernstein Subadvisory Compliance Conference, New York |
| 05/17/2007 | Presentation | Wrap/SMA Accounts: New Developments and Compliance Issues, presented to the Investment Adviser Association, Washington, D.C. |
| 04/17/2007 | Presentation | Portfolio Trading and Best Execution, presented at the NRS 22nd Annual Spring Compliance Conference, Orlando, FL |
| 03/27/2007 | Presentation | Investment Adviser Rules – From the Broker-Dealer’s Perspective, presented to SIFMA-CL |
| 03/25/2007 | Presentation | Investment Adviser Issues for Broker-Dealers, presented at the SIFMA Compliance & Legal Division's Annual Seminar 2007, Phoenix |
| 03/23/2007 | Presentation | Best Execution and Trading Issues, presented at the 9th Annual IA Compliance Best Practices Summit 2007, Washington, D.C. |
| 03/20/2007 | Presentation | Administration Best Practices: Implementing and Maintaining Effective Soft Dollar Program, presented at IIR's 14th Annual Soft Dollar Practices Forum, New York |
| 03/19/2007 | Presentation | Disclosure Issues in Connection with Side Pockets and Side Letters, presented at West Legalworks New Frontier in Hedge Fund Due Diligence, New York |
| 03/19/2007 | Presentation | Due Diligence Concerns with Side Letters, presented at the New Frontiers in Hedge Fund Due Diligence Conference, New York |
| 03/07/2007 | Presentation | Understanding the Impacts of Public Policy, presented at the 2007 SEI Executive Conference, Orlando, FL |
| 01/30/2007 | Presentation | Best Execution and Brokerage Practices, presented at the 7th Annual IA Compliance Forum, New York |
| 01/17/2007 | Presentation | A Plan for an Annual Compliance Review & Keeping Ahead of the Regs, presented at the FRA's 2nd Annual Best Practices for Conducting the Required Annual Compliance Review for Investment Advisors, New York |
| 12/14/2006 | Presentation | Understanding Mutual Fees |
| 12/05/2006 | Presentation | Emerging Issues with Model Based Programs, presented at the Legal/Regulatory Affairs Conference for General Counsels and Chief Compliance Officers, Washington, D.C. |
| 11/09/2006 | Presentation | Evaluating and Improving Annual Reviews, presented at NRS' Protecting Your Firm from SEC Scrutiny, Greenwich, CT |
| November 2006 | Outside Publication | Responding to Data Breaches in the Securities and Investment Management Industry, Wall Street Lawyer, Vol. 10 No. 11 |
| 10/24/2006 | Presentation | New Rules of the Road for Brokers Offering Investment Advice, presented at the FRA's Dual Registrant Symposium, New York |
| 10/19/2006 | Presentation | Supervision of Trading Desk Activities, presented at the 2006 NSCP National Membership Meeting, Washington D.C. |
| 10/16/2006 | Presentation | Supervisory Control Procedures: The Compliance Deadline Was Only the Beginning, presented at the Broker Dealer Week's Annual Fall Compliance Conference, Washington, D.C. |
| 10/04/2006 | Presentation | Examination Crisis Management: What to Do When There Are Problems, presented at the NRS Fall 2006 Compliance Conference, Scottsdale, AZ |
| October 2006 | Outside Publication | A New Era in Soft Dollar Commission Arrangements: SEC Issues Revised Interpretation of Section 28(e), Wall Street Lawyer, Vol. 10 No. 10 |
| 09/26/2006 | Presentation | Regulatory Focus: Issues Unique to the SMA Bank Channel, American Banker & Money Management
Institute, presented at the 4th Annual Separately Managed Accounts Conference |
| 09/21/2006 | Presentation | How Firms Are Adapting to the Rule and a Look Towards the Future, presented at the SIA Fee Based Accounts Forum, New York |
| 09/06/2006 | Presentation | New SEC Soft Dollar Interpretation (Schwab Institutional Webcast) |
| August 2006 | Outside Publication | Anti-Money Laundering Compliance Programs: Time to Reevaluate Risks, The Investment Lawyer, Vol. 13, No. 8 |
| 06/19/2006 | Presentation | Investment Adviser Advertising, presented at the Delaware Investments Training Session, Philadelphia |
| 06/06/2006 | Presentation | Current Best Execution, Trading and Investment Opportunity Issues, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance, Washington, D.C. |
| 06/06/2006 | Presentation | Discussion of MMI Legal/Regulatory Affairs Initiatives, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance, Washington, D.C. |
| 06/06/2006 | Presentation | New Investment Adviser Rules, BISA's Legislative, presented at the Regulatory & Compliance Conference, Washington, D.C. |
| 06/06/2006 | Presentation | Suitability, Individualization and Rule 3a-4 Issues, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance, Washington, D.C. |
| May 2006 | Outside Publication | Regulatory and Operational Issues for US Advisers Investing Overseas, The Investment Lawyer |
| 04/26/2006 | Presentation | Routine SEC Exam Preparation Guidelines, presented at the Investment Management Legal and Compliance Biannual Conference, New York |
| April 2006 | Outside Publication | New Rules of the Road for Brokers Offering Investment Advice, Wall Street Lawyer: Securities in the Electronic Age, Vol. 10, No. 4 |
| 03/08/2006 | Presentation | The Regulatory Landscape, presented at the Outsourcing in Financial Services Conference, New York |
| 01/26/2006 | Presentation | International SMA Developments - A Legal & Regulatory Framework, presented at the MMI 2006 Sales & Marketing Leadership Summit |
| 01/23/2006 | Presentation | Best Execution and Brokerage Practices, presented at the Investment Adviser Compliance Forum |
| 01/23/2006 | Presentation | Soft Dollars Never Die: Current Perspectives for 2006, presented at the Investment Adviser Compliance Forum |
| 01/01/2006 | Presentation | Unbundling’s Doorstep: How Did We Finally Get Here? |
| 12/06/2005 | Presentation | Best Execution, Trading and Investment Opportunity Issues, presented at the Legal/Regulatory Affairs Conference for General
Counsels & Chief Compliance |
| 12/06/2005 | Presentation | New Developments in SMAs and Their Regulatory Dimensions, presented at the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance |
| 12/06/2005 | Presentation | Suitability, Individualization and Rule 3a-4 Issues, presented to the Legal/Regulatory Affairs Conference for General Counsels & Chief Compliance |
| 11/10/2005 | Presentation | Adviser Code of Ethics, presented at the CFA Institute/IAA Hedge Fund Compliance Conference |
| 10/26/2005 | Presentation | Investment Adviser Advertising, presented at the Investment Adviser Association's Compliance Workshop |
| 10/26/2005 | Presentation | Role of Advisers in Client Class-Action Claims, presented at the Investment Adviser Association's Compliance Workshop |
| 10/26/2005 | Presentation | Soft Dollar Developments, presented at the Investment Adviser Association's Compliance Workshop |
| 10/25/2005 | Presentation | Investment Adviser Conflicts of Interest, presented at the NSCP National Membership Meeting, Alexandria, VA |
| 10/18/2005 | Presentation | Coping with the New SEC Rules Extending Adviser Registration to Brokers Providing Advice, presented at the NRS 20th Annual Fall Compliance Conference, Miami Beach, FL |
| October 2005 | Outside Publication | The Role of Investment Advisers in Client Class Action Claims, The Investment Lawyer |
| 08/01/2005 | Outside Publication | The Role of Investment Advisers in Client Class Action Claims, Investment Adviser Association Newsletter |
| 06/14/2005 | Presentation | Annual Compliance Review, presented at the National Regulatory Services Compliance Program Rule Conference '05, Arlington, VA |
| 06/07/2005 | Presentation | Follow the Money: Increased Scrutiny of Fee and Compensation Arrangements, 3rd Annual BISA Legislative, Regulatory and Compliance Conference |
| 06/02/2005 | Presentation | SEC Exams of Separately Managed Accounts, presented at the Money Management Institute |
| 05/17/2005 | Presentation | Best Execution, Brokerage Practices & Changes to Soft Dollar Requirements, presented at the Investment Advisor Compliance Forum |
| 04/06/2005 | Presentation | Investment Advisors II, presented at the SIA Compliance & Legal Division Seminar 2005, Palm Desert, CA |
| 01/12/2005 | Presentation | Achieving Best Execution - A Practical Guide, presented at Financial Markets World Best Execution Conference |
| 12/29/2004 | Presentation | Adviser Code of Ethics |
| 12/12/2004 | Presentation | Adviser Code of Ethics |
| 11/29/2004 | Presentation | Responding to Coming Rule Changes on Soft Dollars |
| 10/21/2004 | Presentation | Designing Disclosures and Procedures to Address Conflicts of Interest, presented at the NRS 19th Annual Fall Compliance Conference |
| 10/21/2004 | Presentation | Establishing Broker-Dealer and Rep Compensation Arrangements, presented at the NRS 19th Annual Fall Compliance Conference |
| 09/01/2004 | Presentation | Regulation & Its Effects on Our Business, presented at the Morgan Stanley Institutional Equity U.S. Head Trader Forum |
| 06/10/2004 | Presentation | Impact of Multiple Types of Fees and Services for Brokerage Services, presented at the BISA Regulatory & Compliance Conference |
| 05/11/2004 | Presentation | Best Execution & Brokerage Practices: Soft Dollars, Directed Brokerage, presented at the Investment Adviser Compliance Forum |
| 04/19/2004 | Presentation | Conflicts of Interest Facing Investment Advisers, presented at the NRS 19th Annual Spring Compliance Conference |
| 03/30/2004 | Presentation | Bridging the Gap Between IT & Compliance |
| 03/16/2004 | Presentation | Multi-Style Portfolios, presented at the 6th Annual ICAA/IA Week Best Practices Summit |
| 02/07/2004 | Presentation | Managing A Regulatory Crisis, presented at NRS Advanced Compliance Training, Washington, D.C. |
| 10/29/2003 | Presentation | Advanced Compliance Concepts for Investment Advisers, presented at the NSCP National Membership Meeting |
| 10/29/2003 | Presentation | Current Issues with Wrap Accounts, presented at the NSCP National Membership Meeting |
| 10/23/2003 | Presentation | Regulation & its Effects on Our Business, presented at the Morgan Stanley Institutional Equity U.S. Head Trader Forum |
| 10/10/2003 | Presentation | Mutual Funds Update: Revenue Sharing and Internal Compensation Issues |
| 10/08/2003 | Presentation | Bank Affiliated Brokers—The Year Ahead |
| 09/10/2003 | Presentation | Advisory Referral Programs and Other Business Arrangements, presented at the NRS 18th Annual Fall Compliance Conference, Charleston, SC |
| 09/09/2003 | Presentation | How to Manage the SEC’s New Recordkeeping Rules |
| 07/22/2003 | Presentation | Structure Matters in Multi-Broker Soft Dollar and Commission Recapture Arrangements |
| 04/29/2003 | Presentation | Managing Conflicts, presented at the Fifth Annual IA Compliance Summit |
| March/April 2003 | Outside Publication | SEC Record Requirements For Advisors, Schwab Institutional Compliance Review |
| 02/28/2003 | Presentation | Directed Brokerage & Soft Dollar Practices 2003: Understanding the Obligations of Brokers |
| 02/07/2003 | Presentation | Managing A Regulatory Crisis, presented at the NRS Advanced Compliance Training & Risk Management Techniques Conference, Washington, D.C. |
| 02/07/2003 | Presentation | Undertaking Risk Audits, presented at the NRS Advanced Compliance Training & Risk Management Techniques Conference, Washington, D.C. |
| December 2002 | Outside Publication | Deadline Looms as Questions Abound on New Broker-Dealer Recordkeeping Requirements, Wall Street Lawyer |
| 11/20/2002 | LawFlash/Client Alert | SEC Proposes Rules Addressing Circumstances When Banks Must Register As Brokers Or Dealers |
| 10/28/2002 | Presentation | Key Trading Issues Affecting Best Execution |
| 10/23/2002 | Presentation | SEC Regulation of Performance Advertising by Investment Advisers |
| 10/01/2002 | Presentation | Current Issues with Wrap Accounts, presented at the NSCP National Membership Meeting |
| 10/01/2002 | Presentation | Wrap Fee and Separately Managed Accounts |
| 09/11/2002 | Outside Publication | NASD Opens Door to Further Fairness Challenges, Complinet |
| August 2002 | Outside Publication | Compliance Corner: Foreign Investing for U.S. Investment Advisers, ICAA Newsletter |
| June 2002 | Outside Publication | Conducting Your Advisory Business on the Web: 10 Tips for Complying with SEC Requirements, Wall Street Lawyer, Vol. 6, No. 1 |
| 05/01/2002 | Presentation | Managing Conflicts, presented at the NSCP 2002 East Coast Regional Membership Meeting, Boston |
| May 2002 | Outside Publication | NASDR and NYSE Tackle Research Analyst Practices... But Are Their New Rules Workable? Wall Street Lawyer, Vol. 5, No. 12 |
| May/June 2002 | Outside Publication | SEC Provides Flexibility Within Safe Harbor for Soft Dollars, NSCP Currents |
| 05/01/2002 | Presentation | Trading Practices and Compliance, presented at the Compliance Forum for Registered Investment Advisers and Hedge Fund Managers |
| March/April 2002 | Outside Publication | New SEC Guidance on Soft Dollars and Riskless Principal Trades, NSCP Currents |
| 02/26/2002 | Outside Publication | Broker-Dealer AML Guidance Comes Together, Complinet |
| 02/26/2002 | Presentation | Understanding the Obligations of Brokers, presented at the Institute for International Research's 9th Annual Forum on Directed Brokerage & Soft Dollar Practices, New York |
| February 2002 | Outside Publication | Expanding Safe Harbors for Soft Dollars, Wall Street Lawyer, Vol. 5, No. 9 |
| 11/09/2001 | Presentation | Overcoming Legal Challenges to eSignatures, Advanced E-Signature Solutions |
| 11/07/2001 | Outside Publication | Analysis of SEC's New Changes to Broker Books and Records Rules, Complinet |
| 10/18/2001 | Presentation | The Search for Best Execution in Today's Market Environment, presented at the NSCP 2001 National Membership Meeting, Washington, D.C. |
| September 2001 | Outside Publication | What to do About Portals?, wallstreetlawyer.com |
| 07/24/2001 | Presentation | Understanding the Obligations of Brokers, presented at the Institute for International Research's Directed Brokerage & Soft Dollar Practices Forum, New York |
| 06/19/2001 | Presentation | Marketing Investment Advisory Services Through Third Parties, presented to National Regulatory Services, Puerto Rico |
| 06/18/2001 | Presentation | Marketing and Referral Arrangements From the Investment Adviser's Perspective |
| 11/14/2000 | Presentation | Advertising Online Investing: What is Permissible Now?, presented at the American Conference Institute's 4th National Conference on Securities Trading on the Internet, New York |
| 10/31/2000 | Presentation | Soft Dollar Arrangements: The Broker-Dealer's Responsibility for Compliance, presented to the International Communications for Management Group's 4th Annual Prime Brokerage Conference, New York |
| 04/19/2000 | Presentation | Proposed SEC Rule 202(a)(11)-1: Certain Broker-Dealers Deemed Not to be Investment Advisers, presented at the National Regulatory Services Spring 2000 Investment Advisor and Broker-Dealer Compliance Conference, Washington, D.C. |
| 04/16/2000 | Presentation | Complex Issues Facing the Dual Registrant, presented at the NRS Sprint 2000 Compliance Conference, Miami |
| 02/20/2000 | Outside Publication | The Impact of the New SEC Electronic Media Release on Investment Advisers, ICAA Newsletter |
| 07/01/1999 | Presentation | Intentionally "Defective" Grantor Trusts, presented to the Tax Study Group, Montgomery/Prince George's County, MD |
| 01/26/1999 | Presentation | Broker-Sponsored Online Chat Rooms: Concerns and Best Practices, presented at the American Conference Institute, Conference on Securities Trading on the Internet, New York |
| December 1998 | Outside Publication | Responsibilities of Advisers in Class Actions, ICAA Newsletter |
| 10/14/1998 | Presentation | Employee Trading - Implementing and Testing Company Policy, presented at the NRS West Coast Conference, Napa Valley, CA |
| 07/23/1997 | Presentation | The Regulation of Trading Errors Under the Investment Advisers Act of 1940 Anti-Fraud Provisions -- A Primer on Fiduciary Principles, presented at the Institute for International Research Investment Adviser Compliance Forum, New York |
| 06/18/1997 | Presentation | SEC Regulation of Investment Adviser Advertising, presented at the Institute for International Research's 9th Annual Conference on Performance Measurement, New York |
| June 1997 | Outside Publication | SEC Finalizes Rules Splitting Regulatory Turf Over Investment Advisors, Compliance Review |
| 05/23/1997 | Presentation | Basic Principles in Developing Compliance and Supervisory Procedures for Investment Advisers, presented at the National Regulatory Service, Inc. Conference: 'Basic Training for IA Compliance Professionals,' New York |
| March 1997 | Outside Publication | Marketing and Referral Arrangements from the Investment Advisor's Perspective - Part 2, Compliance Review, Vol. 6, Issue 3 |
| February 1997 | Outside Publication | Marketing And Referral Arrangements From the Investment Advisor's Perspective - Part 1, Compliance Review, Vol. 6, Issue 2 |
| 12/12/1996 | Presentation | Disclosure of Mutual Fund Brokerage/Service Expense Offset and Soft Dollar Arrangements, presented at the Soft Dollar and Brokerage Conference, New York |
| 04/24/1996 | Presentation | Marketing and Referral Arrangements From the Investment Adviser's Perspective, presented at the National Regulatory Services, Inc. Annual Compliance Conference for Investment Advisers and Broker-Dealers, Orlando |
| 02/09/1996 | Presentation | Developing Written Compliance and Supervisory Procedures for Investment Advisers, presented at the National Regulatory Services, Inc., Compliance Basic Training for Investment Advisers Conference, New York |
| 02/09/1996 | Presentation | State Regulatory Issues Affecting Investment Advisers, presented at the National Regulatory Services, Inc., Compliance Basic Training for Investment Advisers Conference, New York |
| 10/03/1995 | Presentation | SEC Regulation of Performance Advertising By Investment Advisers, presented at the National Regulatory Services, Inc., 'Compliance Basic Training for Investment Advisers,' New York |