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

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Some recent articles for each review are listed below. To read first page of an
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Some Current Articles in
Securities & Commodities Regulation:


SEC Modernizes Content and Delivery Requirements for Mutual Fund Shareholder Reports by Lance C. Dial, Amy McDonald, and Jonathan Nowakowski – Morgan Lewis & Bockius LLP

How do Chief Compliance Officers Prepare for DOJ’s New Compliance Certification Policy? by James M. Koukios, Ruti Smithline, and Heather Han

Regulation Best Interest: Emerging Arbitration, Regulatory, and Enforcement Developments by Lara C. Thyagarajan, Kathryn L. Alessi, and Allison R. Ferraris – Sidley Austin LLP

Responding to the SEC Staff on the Custody of Digital Assets Under the 1940 Act by Susan Gault-Brown – Stradley Roran Stevens & Young LLP


Use and Knowing Possession: An Old Debate Gains New Relevance Amidst the Government’s Latest Insider Trading Enforcement Push by Brian A. Jacobs and Dennis Dillon – Morvillo Abramowitz Grand Iason & Anello P.C.

Building an Effective ESG Program by William D. Semins and Julie F. Rizzo – K&L Gates LLP

SEC Enforcement Sweeps: Implications for Agency and Industry by Adam Aderton and Melissa Taustine – Willkie Farr & Gallagher LLP


The Monaco Memo and Evaluating the Benefits and Risks of Voluntary Self-Disclosures by Zane David Memeger – Morgan Lewis & Bockius LLP

Section 11’s Tracing Doctrine Goes Up to the Supreme Court by John C. Browne and Lauren A. Ormsbee – Bernstein Litovitz Berger & Grossman LLP

Crypto Asset Custody by Investment Advisers After the SEC’s Proposed Safeguarding Rule by Scott Walker and Neel Maitra – Andreessen Horowitz and Wilson Sonsini Goodrich & Rosati


Futures Markets Enforcement Trends by Harris L. Kay, William E. Walsh, and Alexandra J. Marinzel – Davis Wright Tremaine LLP

Compliance Monitors are Once Again “In Vogue” by Robert Johnston, Matthew Boxer, Rachel Maimin, and Alessandra Moore – Lowenstein Sandler

Adapting to Change in Proxy Voting Duties of Investment Advisers and Registered Investment Companies by Derek Steingarten and Aaron Russ – Morrison & Foerster LLP

2023 Proxy Season Updates by Alyse A. Sagalchik and Lawrence D. Levin – Katten Muchin Rosenman LLP


Under a Proposed Act, CFTC Would Have Laser Eyes to Regulate Crypto Spot Markets by Neal E. Kumar – Willkie Farr & Gallagher LLP

The SEC’s Use of Data Analytics in Examinations and Enforcement Investigations by Andrew Ceresney, Kristin Snyder, Charu Chandrasekhar, and Stephen Petraeus – Debevoise & Plimpton LLP

2022 Developments for Auditor Regulation Under the U.S. Securities Laws by John Rizio-Hamilton, Jesse L. Jensen, and Jasmine Cooper-Little


State Securities Acts Compliance Issues for Tertiary Market Life Settlement Policy Traders by Brian T. Casey and Ryan Last – Locke Lorde LLP

DOJ’s New Guidance on Corporate Criminal Enforcement and the Impact on Securities and Commodities Cases by Daniel Kahn – Davis Polk

The SEC’s Proposed Changes to its Names Rule by Corey F. Rose, Matthew E. Barsamian, Austin G. McComb, and Nadee R. Zakaria – Dechert LLP

Buzzfeed Case Highlights New Trends in SPAC Litigation by Benjamin Daniels, Arila Zhou, and Sabrina Galli – Robinson & Cole LLP


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Some Current Articles in
Banking & Financial Services:


AML Diligence: Implications for Bank-Fintech Partnerships at the Intersection of Cryptocurrency by Deborah Connor, Rachel Fiorill, Malka Levin, Evan Minsberg, and Elizabeth Weil Shaw – Morrison & Foerster LLP

Third-Party Releases Under the Bankruptcy Code by Michael Schuster – Ballard Spahr LLP


Practical Considerations for Chapter 11 Rights Offering Proponents by Scott R. Bowling and Shelby V. Saxon – Baker Botts LLP

United States V. Danske Bank: New Theory of Liability for Violations of U.S. AML Standards by Michael Dawson and Michael Leotta - WilmerHale


Distressed Business’ Alternatives to Bankruptcy by Gary P. Segal, Deborah D. Williamson, and Paulina Garga-Chmiel – Dykema Gosset PLLC

Exculpation Provisions in Chapter 11: Recent Developments and Practice Tips by Kimberly A. Posin, Nicholas J. Messana, Jonathan C. Gordon, and Deniz A. Irgi – Latham & Watkins LLP


Red Flags for Banks and Processors Servicing the New High-Risk Environment by Ellen T. Berge – Venable LLP

Let’s Get Personal:  The Limitations of In Rem Jurisdiction of the US Bankruptcy Courts by Lynn P. Harrison III – Dentons US LLP


The Zone of Safety: How to be an Active and Confident Director During Financial Distress by Andrew G. Dietderich

RESPA Hot Topics: Marketing Alliances in a Competitive Mortgage Market by Holly Spencer Bunting and Kerri Webb – Mayer Brown


The Recent Onslaught of Fair Lending Litigation Against Mortgage Industry Participants by Oliva Kelman and Lanette Suárez Martín – K&L Gates LLP




Please click here to see a listing of articles in reverse chronological order 2000 - 2022 for The Review of Securities & Commodities Regulaton

Please click here to see a listing of articles in reverse chronological order 2000 - 2022 for The Review of Banking & Financial Services