Publications

• Brokers' Unauthorized Misstatements Imputed To Firm In SEC Enforcement Action
  May 23, 2012
  
• Derivatives & Futures Update
  February 2012
  
• An Inquiry into the Perception of Materiality as an Element of Scienter under Rule 10b-5
  November 2011
  Allan Horwich
• The Approach
  November 2011
  
• SEC Adopts Rules Implementing Investment Adviser Provisions of Dodd-Frank Act
  July 8, 2011
  
• SEC Adopts Family Office Rule
  July 1, 2011
  
• Guilty Pleas Preview Testimony in Galleon Insider Trading Case
  February 17, 2011
  Patricia A. Pileggi
• Proposed Rulemaking for Derivatives Under the Dodd-Frank Act
  January 19, 2011
  
• The New Swaps Playing Field: Overview and Analysis of the Dodd-Frank Act's Derivatives Title
  November/December 2010
  Matthew Kluchenek
• SEC Proposes Rules Implementing Investment Adviser Provisions of Dodd-Frank Act
  December 17, 2010
  
• The CFTC's New Authority Over Manipulative Trading Activity
  December 1, 2010
  
• SEC Action on Family Offices
  October 22, 2010
  
• Sweeping Financial Reform Legislation Enacted
  July 27, 2010
  
• SEC Anti-Pay to Play Rule — Newly Adopted Rule 206(4)-5 Under the Investment Advisers Act of 1940
  July 12, 2010
  
• House of Representatives Passes OTC Derivatives Legislation
  January 27, 2010
  
• Recent Amendments to the Rule 206(4)-2 under the Investment Advisers Act of 1940
  January 15, 2010
  
• Changes in the Culture of Waiver
  December 2, 2009
  Stacie R. Hartman
• SEC Action on Dark Pools
  November 24, 2009
  
• The Madoff Maze
  November 5, 2009
  
• SEC Action on Flash Orders
  September 23, 2009
  
• Obama Administration's Proposed OTC Derivatives Legislation
  September 2009
  
• Obama Administration Proposes Financial Regulatory Reform
  June 24, 2009
  
• The SEC Issues New Proposals to Restrict Short Selling
  May 1, 2009
  
• Fraud in Markups An
  September 3, 2008
  Jack P. Drogin
• Designing an Effective Retail Surveillance Program
  August 13, 2008
  Michael K. Wolensky
• Summary of Proposed Amendments to Regulation S-P Affecting Transfer Agents
  July 2008
  Laura S. Pruitt
• SEC Proposes Changes to Rule 15a-6
  July 2008
  
• Recent Amendments to the Commodity Exchange Act
  July 2008
  
• Securities Enforcement and Litigation Update — Supreme Court Addresses "Scheme Liability" — Reins in Investor Suits
  January 16, 2008
  
• The Origin
  May 2007
  Allan Horwich
• SEC Proposes Amendments to its Broker-Dealer Financial Responsibility Rules
  April 17, 2007
  
• Pleading Reform or Unconsititutional Encroachment - An Analysis of the Seventh Amendment Implications of the Private Securities Litigation Reform Act
  Spring 2007
  Allan Horwich
• SEC Proposes New Rules Affecting Hedge Funds
  January 29, 2007
  
• New Soft Dollars Guidance
  August 3, 2006
  
• SEC Proposes Revisions to Interpretation of Section 28(E) Safe Harbor
  November 22, 2005
  
• SEC Adopts New Market Structure Rules
  July 15, 2005
  
• SEC Adopts Rule Excluding Broker-Dealers Offering Fee-Based Accounts From the Investment Advisers Act of 1940
  April 29, 2005
  
• SEC Revises its Market Structure Proposals
  January 5, 2005
  
• SEC Requires Registration of Hedge Fund Advisers
  December 22, 2004
  
• SEC Proposes New SRO Governance and Transparency Rules and Issues a Concept Release on Self-Regulation
  December 16, 2004
  
• SEC Proposes Registration for Hedge Fund Advisers
  August 9, 2004
  
• SEC Proposes Significant Changes to Current Market Structure
  March 18, 2004
  
• Rule 15a-6: Safe Harbor for Unregistered Foreign Broker-Dealers
  January 8, 2004
  Andrew M. Klein
• SEC Proposes Significant Amendments to the Short Sale Rule
  November 14, 2003
  
• Safe Harbor for Issuer Repurchases Revised by SEC
  November 13, 2003
  
• A Primer on SEC Rule 10b5-1: Affirmative Defenses For Insider Trading
  November 10, 2003
  Allan Horwich, Andrew M. Klein