Welcome to the Official Website of
The Review of Securities & Commodities Regulation and
The Review of Banking & Financial Services.

About the Reviews    Board of Advisors   |   Subscriptions   |   Contact Us

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


 
...........

......................................................................
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

 

.......... ..........

......................................................................
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