Two Penn Center Plaza, Suite 1422 1500 John F. Kennedy Blvd Philadelphia, PA 19102 T: 215-568-9840 F: 215-568-9843 www.rlevan.com

Articles and Publications by Richard A. Levan

• "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, May 2002.
  
  
• "Securities Litigation: 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 Arbitration Litigation Landscape: Arbitrating Customer Suitability Claims, A Primer"
  NRS 2nd Annual Conference on Suitability for Traditional and Online Brokers Course Book, October 2001.
  


• "Recent Broker-Dealer Cases: The Compliance Officer's Role in Reducing Litigation Risk"
  NRS 16th Annual Fall Compliance Conference Course Book, September 2001.
  


• "The Other '40 Act: Reflections on the Investment Advisers Act of 1940 on its 60th Birthday"
  The Business Law Report, Fall 2000.


• "Is your CRD Ready for the Internet?"
  Bank Securities Journal, June 2000.
  


• "Jurisdictional Issues Affecting Investment Advisers Doing Business Abroad: Part One, Offshore Funds"
  NSCP Currents, March-April 1999.
  


• "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.
  


• "The Do's and Don'ts of Hiring and Firing Brokers"
  Bank Securities Journal, November-December 1998.