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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:


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


AML Recent Developments: What Practitioners Need to Know by Betty Santangelo, Melissa G.R. Goldstein, and Hannah Thibideau – Schulte Roth & Zabe LLP

The ABCs of LEIs – And What You May Not Know by Matthew Bisanz, Matt Kluchenek, and Anna Easter – Mayer Brown LLP

Significant Proposed SEC Rules for Advisers to Private Funds by Anne C. Choe, Benjamin B. Allensworth, and Matthew I. Haddadin – Wilkie Farr & Gallagher LLP


The CFPB’S Authority to Regulate Cryptocurrency Products and Services by Eric Goldberg – Akerman LLP

FCPA Enforcement Trends: Increased Risk Profile and Considerations for Corporate Gatekeepers by Anita Bandy and Christopher Herlihy

Flagging FCPA Misconduct in Virtual Work Environments by Michael M. Farhang and Jeannine Lemker – Gibson Dunn & Crutcher LLP


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Some Current Articles in
Banking & Financial Services:


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


The Role of Independent Directors in Mitigating Liability Arising from Restructuring Decisions by Michael R. Handler and Arthur J. Steinberg – King & Spaulding LLP

Mediation in Bankruptcy – An Important, Albeit Unwieldy Tool by Julia Winters – Katten Muchin Rosenman LLP


Fraudulent Transfers: Recent Developments Concerning Subsequent Transferees by Evan Hollander and Nick Sabatino – Orrick, Herrington & Sutcliffe LLP

State Enforcement in Mortgage Lending by Allison J. Schoenthal and Eugene Frenkel – Goodwin Procter 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