Amy Greer

Amy Greer

Morgan Lewis

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Latest Publications


SEC Speaks 2017

Commission staff highlight key developments and successes in the SEC enforcement program. As they do every year, senior officials from the US Securities and Exchange Commission (SEC or the Commission), including current...more

3/6/2017 - Anti-Money Laundering Asset Management Broker-Dealer Corporate Liability Cybersecurity Enforcement FCPA Financial Reporting Fraud Hackers Insider Trading Public Corruption Public Financing Retail Investors SEC Securities Litigation Whistleblowers

SEC Examiners Focused on Fund Share Class Conflicts of Interest

OCIE recently published a Risk Alert announcing that it will examine the potential conflict of interest created by registered investment advisers being financially incentivized to recommend certain share classes to clients....more

7/25/2016 - 529 Plans Compensation Agreements Conflicts of Interest Disclosure Requirements Enforcement Actions Fiduciary Duty FINRA Investment Advisers Act of 1940 OCIE Registered Investment Advisors SEC Share Classes

Tweaking the “Home Court” Rules for SEC Administrative Proceedings

SEC proposes modest amendments to AP process to enhance efficiency and address concerns regarding fairness. In an effort to enhance the efficiency of its processes in administrative proceedings (APs) and bolster its...more

9/28/2015 - Administrative Proceedings Amended Regulation Appointments Clause Comment Period Depositions Discovery Due Process Expert Witness Federal Register Federal Rules of Civil Procedure Proposed Regulation SEC

Has the SEC Become the "Whistleblower’s Advocate"?

The SEC Chair discusses the whistleblower program’s achievements and importance and how the agency will fight to ensure that whistleblowers continue to be heard....more

5/11/2015 - Mary Jo White Popular SEC Technical Conference Whistleblower Protection Policies Whistleblowers

Select Broker-Dealer Enforcement Cases and Developments: 2014 Year in Review

This Outline highlights key U.S. Securities and Exchange Commission (the “SEC” or the “Commission”) and Financial Industry Regulatory Authority (“FINRA”) enforcement developments and cases regarding broker dealers.* The...more

2/20/2015 - Broker-Dealer Enforcement Enforcement Actions Municipal Securities Issuers SEC Whistleblowers

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