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Morgan Lewis
John J. O'Brien
John J. O'Brien
Morgan Lewis
SEC Examination Staff Outlines Observations Of Registered Fund Compliance Risks
03 Nov 2021 | United States
SEC Approves E-Delivery Of Shareholder Reports, Requests Comments On Other Areas
14 Jun 2018 | United States
ETF Roundup Issue 2 - April 2017
05 May 2017 | United States
SEC Proposes Business Continuity And Transition Plan Requirements For Investment Advisers; Staff Issues Guidance For Registered Funds
08 Aug 2016 | United States
SEC Proposes Requirements For Funds' Use Of Derivatives And Other Financial Transactions
21 Dec 2015 | United States
NYSE Arca Proposes To Flag ETP Trades That Deviate Significantly From Prevailing Market Prices
07 Dec 2015 | United States
NYSE Arca Withdraws Active ETF Generic Listing Standards Proposal As SEC Focus On ETFS Continues
04 Nov 2015 | United States
SEC Proposes Liquidity Risk Management Rules For Open-End Funds
05 Oct 2015 | United States
SEC To Approve "Exchange-Traded Managed Funds"
24 Nov 2014 | United States
SEC Approves General Solicitation In Private Offerings And Proposes Further Regulation D Amendments
05 Aug 2013 | United States
SEC Warns About Exemptive Order Compliance
05 Jun 2013 | United States
SEC Settles Suit For Misleading Advisory Contract Approval Disclosure
26 May 2013 | United States
FINRA Formalizes Position On Pre-Inception Index Performance Data
02 May 2013 | United States
SEC Adopts Large Trader Reporting System
24 Aug 2011 | United States
SEC Adopts Exemptions For Certain Private Fund Advisers And Other Dodd-Frank Implementing Rules
11 Jul 2011 | United States
SEC Staff Issues Guidance on "Pay-to-Play" Rule
05 Apr 2011 | United States
SEC Proposes Registration Exemptions, but Also Reporting Requirements, for Certain Private Fund Advisers
21 Jan 2011 | United States
SEC Proposes Revisions to Mutual Fund Distribution Fees (Rule 12b-1) and Disclosure
07 Sep 2010 | United States
SEC Adopts Pay-to-Play Rule Under Investment Advisers Act
15 Jul 2010 | United States
SEC’s Large Trader Reporting System Proposal Would Affect Large-Volume, High-Frequency Traders and Their Broker-Dealers
19 May 2010 | United States
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Philadelphia
Philadelphia
United States

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