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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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SEC Pay Ratio Rules – A Recipe for Compliance and Model Disclosure by Jason M. Halper and Jeremy D. Erickson – Orrick, Herrington & Sutcliffe LLP

FCPA Best Practices:  Implementation and Utilization of Third-Party Audits by Jason A. Jones – King & Spalding LLP

Shareholder Approval of Equity Plans – Current Considerations by Mary J. Mullany – Ballard Spahr LLP

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Capital Market Instruments Targeted by EU Sanctions against Russia by Anahita Thoms and Bettina Stepanek – Freshfields Bruckhaus Deringer U.S. LLP

The CCO – The SEC’s Target – or Ally in Examinations and Enforcement? By Sarah A. Good and Ildiko Duckor – Pillsbury Winthrop Shaw Pittman LLP

Swap Dealer Chief Compliance Officer Requirements – Recent Developments by Dan M. Berkovitz and Gail C. Bernstein – Wilmer Hale

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Virtual Currency and Regulation by Gerald S. Sachs, Ryan A. Chiachiere, Alexandra L. Anderson, and Lauren Kelly D. Greenbacker – Paul Hastings LLP

Manipulation under the CEA and the Defense of Self-Defense by Chad E. Silverman and David Zornow – Skadden, Arps, Slate, Meagher & Flom LLP

U.S. Trade Controls Considerations during M&A and Transactional Due Diligence by Kim Strosnider and Stephen Bartenstein – Covington & Burling LLP

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New SEC Staff Guidance on General Solicitation by Leslie Silverman, Nicolas Grabar, and Andrea Basham – Cleary Gottlieb Steen & Hamilton LLP

Cyber-Attacks and Developments in Cybersecurity by Alan Brudner, Wendy Cohen, Gary DeWaal, David Dickstein, Doron Goldstein, and Dina Wegh – Katten Muchin Rosenman LLP

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Regulation A+ from a Canadian Perspective by Pamela Hughes, Tim Phillips, and Raees Nakhuda – Blake, Cassels & Graydon LLP

CFIUS:  A Potential Cause of Deal Delay by Stephen Heifetz and Kaitlin Cassel – Steptoe & Johnson LLP

Handling Big Data in the Financial Services Sector by Liisa Thomas – Winston & Strawn LLP

Safe Harbor Rights and Protections for FCMs and Swap Dealers in Customer Bankruptcies by Geoffrey S. Goodman – Foley & Lardner

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Disruptive Trading and the Search for Wrongful Intent by Stacie R. Hartman, Kenneth W. McCracken, and Jacob L. Kahn – Schiff Hardin LLP

Asset Managers and the Regulatory Debate over Systemic Risk by James Burns and Justin Browder – Willkie Farr & Gallagher LLP

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Law and Practice under Rule 102(e) by Gregory G. Ballard, Kevin A. Burke, and Neil D. Corcoran – Sidley Austin LLP

The DOJ’s New Position on Corporate Cooperation by Matthew E. Fishbein – Debevoise & Plimpton LLP

 

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Some Current Articles in
Banking & Financial Services:

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Seven Lessons Learned from D&O Litigation Arising from the Financial Crisis by Dennis Klein, Tyler Grove, and Jeffrey Goldberg – Hughes Hubbard & Reed LLP

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Medicare Fraud and the Laundering of Proceeds:  Detecting the Obvious by Kirk Ogrosky and Nora Schneider – Arnold & Porter LLP

Who Decides Whether an Arbitration Clause Permits Class Arbitration – Judge or Arbitrator? By Jeremy Cole, Yael Aufgang, and Ben Friedman – Jones Day

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FIRREA Enforcement Trends by Douglas W. Baruch, Jennifer M. Wollenberg, and Matthew E. Joseph – Fried, Frank, Harris, Shriver & Jacobson LLP

Credit Bidding after Fisker by Stephen B. Selbst – Herrick, Feinstein LLP

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Impact of the Volcker Rule on Derivatives Markets by Julian E. Hammar and Oliver I. Ireland – Morrison & Foerster LLP

Recent FDIC Guidance on Brokered Deposits by David F. Freeman, Jr. – Arnold & Porter LLP

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Inclusive Communities and Disparate Impact under the Fair Housing Act by Valerie L. Hletko, Caroline M. Stapleton, and John A. Kimble – BuckleySandler LLP

Recent Developments Regarding the “Good Faith Transferee” Defense in Fraudulent Transfer Litigation by Aaron G. McCullough – McGuire Woods LLP

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The Basics of Ability to Repay and Qualified Mortgage Rules by Joseph E. Silvia – Locke Lord LLP

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CLOs and the Volcker Rule by David S. Krischer and Heath P. Tarbert – Allen & Overy LLP

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The CFPB’s Proposed Amendments to its Mortgage Servicing Rules by Scott D. Samlin and Nanci L. Weissgold – Alston & Bird

 

 


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