Speaking Engagement - SIFMA Research Management Conference

Morgan Lewis Partner John Ayanian will speak on "Research Regulation - Interpretations, New Rules, and Future Plans."

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Broker-Dealer Regulatory Update - As of September 20, 2007

View the September 21 Update.

SEC Adopts Interim Rule to Provide Limited Principal Trading Relief and Proposes Interpretive Rule Clarifying the Application of the Advisers Act to Broker-Dealers

PDF version At an open meeting yesterday, the Securities and Exchange Commission (SEC) addressed questions raised by the securities industry in the aftermath of Financial Planning Association v. SEC.

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Broker-Dealer Regulatory Update - As of September 13, 2007

View the September 14 Update.

Broker-Dealer Regulatory Update - As of September 6, 2007

View the September 7 Update.