| • |
"OPTIONS DATING UPDATE: Delaware Chancery Court Deals Blow to
Corporate Defendants in Stock Options Backdating and Spring-Loading Cases" |
| |
Philadelphia, PA, February 26, 2007 (with Conor Mullan) |
| |
|
| • |
"SEC Loses Insider-Trading Case:
Court 'Distressed' by Counsel’s Conduct"
|
| |
The Legal Intelligencer, December 04, 2006 (with Conor Mullan) |
| |
|
| • |
"Current SEC Examination Policies and Procedures For Investment Advisers and Investment Companies" |
| |
Philadelphia, PA, September 27, 2006 (with Ted Bloch) |
| |
|
| • |
"SEC Enforcement Actions Under the Investment Advisers Act of 1940, January 1, 2005 - February 28, 2006" |
| |
PBI Course Handbook, "9th Annual Securities Law Forum" April 2006 |
| |
|
| • |
"SEC Enforcement
Actions; The Past as Prologue" |
| |
PBI 7th Annual Federal Securities Law Forum Course Book, April 2004. |
| |
|
| • |
"The SEC's New Push on Internal Controls and Risk Assessment:
What Every Compliance Officer Needs to Know Now" |
| |
NRS Spring Compliance Conference Course Book, April 2003. |
| |
|
| • |
"SEC & Private Litigation Developments" |
| |
PBI 6th Annual Federal Securities Law Forum Course Book, April 2003 |
| |
|
| • |
"Ideal Compliance Procedures" |
| |
NSCP 2003 East Coast Regional Meeting Course Book, March 2003. |
| |
|
| • |
"SEC Enforcement
Actions; The Past as Prologue, or, What Every Compliance
Officer Needs to Know Now" |
| |
NSCP Currents, March 31, 2003 |
| |
|
| • |
"SEC Year in Review" |
| |
NSCP Currents, January-February 2003 |
| |
|
| • |
"How to Handle an SEC Inspection" |
| |
Complinet North America, May 2002. |
| |
|
| • |
"SEC Actions Involving Investment Advisers and the Advisers Act of 1940 For the Years 1999-2001" |
| |
PBI Course Handbook, "Fifth Annual Securities Law Forum" April 26, 2002 |
| |
|
| • |
"Lawyers and the Media: A Primer" |
| |
PBI Course Handbook, "Planning for Disaster" April 22, 2002 |
| |
|
| • |
"Anti-Money-Laundering Compliance Tips for Procrastinators" |
| |
Complinet North America, April 22, 2002 |
| |
|
| • |
"Recent Broker-Dealer Cases: The Compliance Officer’s Role in Reducing Litigation Risk" |
| |
National Regulatory Services Course Handbook, "NRS 16th Annual Fall Investment Adviser & Broker-Dealer Compliance Conference" September 11, 2001 |
| |
|
| • |
"The Supreme Court's Decision in Wharf
Holdings: An Opportunity for Clarification Missed" |
| |
Insights, August 2001 |
| |
|
| • |
"New SEC
Rules May Help Clarify Insider Trading Liability" |
| |
The Business Law Report, Spring 2001 |
| |
|
| • |
"The SEC Takes
Aim At Good Soldiers" |
| |
The Business Law Report, October 2000 |
| |
|
| • |
"The Other
'40 Act: Reflections on the Investment Advisers Act
of 1940 on its 60th Birthday" |
| |
The Business Law Report, Fall 2000 |
| |
|
| • |
"The Gramm-Leach-Bliley Act: An Overview of Select Provisions" |
| |
ABA Course Handbook, July 2000 (with Daniel W. Krane) |
| |
|
| • |
"Jurisdictional
Issues for Investment Advisers Doing Business Abroad:
Part Two, Offshore Clients" " |
| |
NSCP Currents, August 13, 1999 |
| |
|
| • |
"The SEC's
Long-Awaited Soft Dollar Report" |
| |
PBI Course Handbook, April 1999 |
| |
|
| • |
"Jurisdictional
Issues Affecting Investment Advisers Doing Business
Abroad: Part One, Offshore Funds" |
| |
NSCP Currents, March-April 1999. |
| |
|
| • |
"The Do's
and Don'ts of Hiring and Firing Brokers" |
| |
Bank Securities Journal, November-December 1998 |
| |
|
| • |
"A Look at the 1996 Changes in Securities Law" |
| |
Pennsylvania Law Weekly, February 3, 1997 |
| |
|
| • |
"Recent Changes to the SEC’s Administrative Rules of Practice" |
| |
Course Handbook, 28th Annual Rocky Mountain State-Federal-Provincial Securities Conference, Denver, Colorado, October 13, 1995 |
| |
|
| • |
"Selected Issues In Pretrial Motions Practice Under the SEC’s New Rules of Practice" |
| |
Course Handbook, 28th Annual Rocky Mountain State-Federal-Provincial Securities Conference, Denver, Colorado, October 13, 1995
|
