Regulation of Global Financial Firms After Morrison v. National Australia Bank

Authors

Arthur B. Laby

Document Type

Symposium

Abstract

(Excerpt)

Part I of the Article reviews the Morrison decision with particular focus on the regulation of non-U.S. firms. Part II discusses SEC regulation of non-U.S. domiciled investment advisers and broker-dealers, focusing on elements of regulation most relevant to Morrison. Part III identifies regulatory challenges arising from Morrison.