November 2007 Archives
Seminars - The ERISA and Securities Law Issues That Will Hit Your Balance Sheet in 2008
What Every General Counsel Needs to Know
Morgan Lewis invites you to join us for a critical presentation on the latest trends and issues raised by class action litigation under the Employee Retirement Income Security Act (ERISA) and the securities laws. Meetings will be held in three cities: San Francisco, Chicago, and New York. General counsel, other in-house counsel, and those responsible for ERISA and securities compliance are invited to attend.
SEC Proposes Mandatory Electronic Submission of Investment Company Applications
PDF version On November 2, 2007, the SEC proposed a series of rule amendments regarding its Electronic Data Gathering, Analysis, and Retrieval (EDGAR) system. The proposed rule amendments would require that new or amended applications under any section of the Investment Company Act of 1940 (1940 Act) and Regulation E filings of small business investment companies and business development companies be filed as electronic submissions.
Speaking Engagement - ICI’s 2007 Investment Company Directors Conference - East
Morgan Lewis partner John Ford will speak on "Small Fund Issues."
Article - Keeping Current: Securities: Seventh Circuit’s Test for Inadvertent Investments
Published in Business Law Today, November/December 2007 issue (Vol. 17, No. 2), by Thomas Harman, Monica Parry, and Holly Hunter-Ceci.
Read the article (reprinted with permission).
Article - Statistical Screens for “Return Smoothing” by Hedge Funds: SEC & Investor Interest
Published in the Wall Street Lawyer, November 2007 issue (Vol. 11, No. 11), by Robert Mendelson.
Read the article (reprinted with permission).