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The Review of Securities & Commodities Regulation and
The Review of Banking & Financial Services.

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To learn more about our publications click on the "About the Reviews" link above.
Some recent articles for each review are listed below. To read first page of an
article click on the title.


CLE Credit


 
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Some Current Articles in
Securities & Commodities Regulation:

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Market Structure:  An Evolution from MiFID I to MiFID II by Nathaniel Lalone and Christopher Collins – Katten Muchin Rosenman UK LLP

Supreme Court Imposes a Five-Year Statute of Limitations on SEC Disgorgement Claims by Richard Marshall – Katten Muchin Rosenman LLP

CEO Succession and Crisis Management by Tanuja Dehne, Anne Meyer, and Katayun Jaffari – Georgeson LLC and Ballard Spahr

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Navigating Conflicts of Interest in Securities Class Actions by Anne P. Ray – Jenner & Block LLP

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The New York State DFS Cybersecurity Regulation:  Preparing for Compliance by Jeffrey P. Taft, Lawrence R. Hamilton, Stephen Lilley, and Matthew Bisanz – Mayer Brown LLP

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The So-Called “Fiduciary Exception” to the Attorney-Client Privilege in Section 36(b) Cases by Sean M. Murphy, Robert C. Hora, and Michael E. Mirdamadi – Milbank, Tweed, Hadley & McCloy LLP

Increased Use of Big Data in SEC Enforcement by Elizabeth P. Gray and Catherine E. Fata – Willkie Farr & Gallagher LLP

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Managing a Global Regulatory Investigation — Unique Challenges in Cross-Border Investigations by John. M. Hillebrecht, Jessica Masella, and Adam Steene – DLa Piper LLP

Salman V. United States and its Impact on Insider-Trading Enforcement by Scott B. McBride – Lowenstein Sandler LLP

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The SEC’s Long-Awaited Security-Based Swaps Rule May Be Approaching by Julian E. Hammar, David B. Lichtstein, and Robert J. Dilworth – Morrison & Foerster LLP

Esoteric ABS:  Pushing the Envelope by Ronald S. Borod – DLA Piper LLP (US)

 

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Some Current Articles in
Banking & Financial Services:

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The 2015 Revisions to the Federal Rules of Civil Procedure:  Impact on Bankruptcy Matters by Matthew Brooks, Jeffery Cavender, and Alison Grounds – Troutman Sanders LLP

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FinCEN’s Customer Due Diligence and Beneficial Ownership Rule by Daniel P. Stipano, Ellen M. Warwick, and Benjamin W. Hutten – Buckley Sandler LLP

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Intercreditor Agreements – U.S. and European Approaches by R. Timothy Bryan and Carl Winkworth – Duane Morris LLP

Arbitration and Bankruptcy:  A Tug of War by Leah M. Eisenberg, Katherine R. Catanese, and Sam Lawand – Foley & Lardner LLP and Arent Fox LLP

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The OCC “Fintech Charter” by Mark T. Dabertin and Richard P. Eckman – Pepper Hamilton LLP

Best Practices for Lenders to Avoid and Prevail in Lender Liability Lawsuits by Natan M. Hamerman – Kramer Levin Naftalis & Frankel LLP

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Bank Response to Discovery Requests for Privileged Materials by Alex C. Lakatos – Mayer Brown

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The Role of the Committee in 363 Sales by Mark S. Indelicato and Alison M. Ladd – Hahn & Hessen LLP

Expert Witnesses in Bankruptcy Court:  Some Legal and Practice Points for Litigators by Philip Bentley – Kramer Levin Naftalis & Frankel  LLP

 

 

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Please click here to see a listing of articles in reverse chronological order from 2000 - June 2017 for The Review of Securities & Commodities Regulaton

Please click here to see a listing of articles in reverse chronological order from 2000 - June 2017 for The Review of Banking & Financial Services