Broker-Dealer Regulatory Update - As of December 27, 2007

View the December 28 Update.

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

View the December 21 Update.

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

View the December 14 Update.

FINRA Issues Guidance Regarding Review and Supervision of Electronic Communications

PDF version   Last week, the Financial Industry Regulatory Authority (FINRA) issued guidance regarding the review and supervision of electronic communications. The guidance sets forth principles for member firms to consider when developing supervisory systems and procedures for electronic communications that are reasonably designed to achieve compliance with applicable federal securities laws and self-regulatory organization (SRO) rules. FINRA’s guidance is in substantially the same form set forth in a proposal issued in June 2007.

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

View the December 7 Update.

Speaking Engagement - West Legalworks Investment Adviser Regulation Workshop

Morgan Lewis partners Ethan Johnson, Jennifer Klass, Adrienne Ward, and Ivan Harris will speak on "Investment Adviser Regulation: An A to Z Workshop."

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Speaking Engagement - ICI’s 2007 Securities Law Developments Conference

Morgan Lewis partner Steve Stone will speak on "Trading and Market Structure Issues."

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