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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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The SEC's New Enforcement Program by Richard M. Phillips, Jeffrey L. Bornstein, and Leanne E. Hartmann – K&L Gates LLP

The SEC's Policies on Civil Penalties and Admissions in Settlements by Herbert F. Janick III and John Lupton – Sidley Austin LLP

U.S. Sanctions on Iran: The Joint Plan of Action for Containing Iran's Nuclear Program by Jeanine P. McGuinness – Davis Polk & Wardwell LLP

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Credit Rating Agency Litigation by Roberta A. Kaplan and Jacob H. Hupart – Paul, Weiss, Rifkind, Wharton & Garrison LLP

Investment Company Performance: The Board's Oversight Role by Rose F. DiMartino and Ryan P. Brizek – Wilkie Farr & Gallagher LLP

The JOBS Act and IPOs by Deanna Kirkpatrick – Davis Polk & Wardell LLP


Compliance and Legal Personnel: Potential Supervisory Liability by Paul R. Berger, Kenneth J. Berman, Robert B. Kaplan, Jonathan R. Tuttle, Lee A. Schneider, and Ryan M. Kusmin – Debevoise & Plimpton LLP

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Executive Compensation Issues: Planning for the Coming Proxy Season by Erica Schohn and Joe Penko – Skadden, Arps, Slate, Meagher & Flom LLP

Preparing an Effective PCAOB Statement of Position by Elissa Preheim and Bret A. Finkelstein – Arnold & Porter LLP

The Interplay Between Government Investigations and Civil Securities Litigation by Michael M. Farhang and Chris Jung – Gibson, Dunn & Crutcher LLP

SEC Developments in M&A by Richard Hall – Cravath, Swaine & Moore LLP

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Deal Litigation Run Amok: Diagnosis and Prescriptions by Marc Wolinsky and Ben Schireson – Wachtell, Lipton, Rosen & Katz

Advisers Act Marketing Considerations for Real Estate Fund Managers by Kelley A. Howes – Morrison & Foerster LLP

Reassessing the SEC Wells Submission by Marc J. Fagel – Gibson, Dunn & Crutcher

Preparing for and Enduring a FINRA Exam by Daniel Nathan and Justin Kletter – Morrison & Foerster LLP and Bank of America Merrill Lynch

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SEC Investment Adviser Examinations by William Kane and Gillian Whittlesey – BakerHostetler

Practicing Before the SEC: Ethical Considerations for Counsel by Charles F.Walker and Katherine V. Lesker – Skadden, Arps, Slate, Meagher & Flom LLP

Regulators Renew Focus on Auditor Independence by Robert Hubbell – Morrison & Foerster LLP

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FINRA's Regulation of its Members' Use of Social Media by Ethan Silver and Jayun Koo – Carter Ledyard & Milburn LLP

Regulation FD in the Twitter Age by William S. Freeman – Jones Day

Know Your Customer Inquiries and Suitability Determinations under the Updated FINRA Rules by Peter W. LaVigne – Goodwin Procter LLP

The ACA Case: A New Standard for Reasonable Reliance? By Jonathan E. Pickhardt – Quinn, Emanuel, Urquhart & Sullivan LLP

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Deal Protections in Tender Offers by Melissa Sawyer and Rebecca Crosby – Sullivan & Cromwell LLP

"Win-Win" Scenarios for Shareholders in M&A Transactions by Paula Howell Anderson – Shearman & Sterling LLP

Recent AML Enforcement Cases by Paul M. Tyrell – Sidley Austin LLP

Concluding an Internal Investigation by David Bayless and Tammy Albarrán – Covington & Burling LLP

 

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Some Current Articles in
Banking & Financial Services:

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The State of Cybersecurity Regulation in the Financial Services Sector by Stuart D. Levi and Joshua Gruenspecht – Skadden, Arps, Slate, Meagher & Flom LLP

U.S. Economic Sanctions: Due Diligence for Financial Institutions by Melvin Schwechter – Baker & Hostetler

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Legal Privilege and Related Issues in Insolvency and Restructuring Matters by Christopher Harris and William Furnish – Latham & Watkins LLP

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The CFPB Signals Revolutionary Changes to the Collection Industry by Nanci L. Weissgold – K&L Gates LLP

Exempt Structured Products Programs in the U.S.: Issues for Non-U.S. Banks by Bradley Berman, Lloyd S. Harmetz, and Anna T. Pinedo - Morrison & Foerster LLP

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The New Enforcement Landscape for Financial Institutions by Timothy R. McTaggart, Lawrence Byrne, Martin S. Bloor, and Linda Regis-Hallinan – Pepper Hamilton LLP

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Broad Reach of the "Credit" Laws and Potential Compliance Pitfalls by Joseph L. Barloon and Darren Welch - – Skadden, Arps, Slate, Meagher & Flom LLP

Reassessing Your Risk Profile for OFAC Sanctions by Ronald L. Meltzer and David M. Horn - WilmerHale

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A Practical Approach to Global Derivatives Reform by David T. McIndoe, Meltem F. Kodaman, and Meghan R. Gruebner – Sutherland Asbill & Brennan LLP

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The COMI Concept in Multinational Corporate Group Bankruptcies by Claudia R. Tobler – Paul, Weiss, Rifkind, Wharton & Garrison LLP

A Practical Guide to CFPB Compliance Examination Management by Andrew Sandler, Andrea Mitchell, and Susanna Khalil – Buckley Sandler LLP

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Upset Bids in Section 363 Sales by Francis J. Lawall and Erik L. Coccia – Pepper Hamilton LLP

CAFA Jurisdiction over State Attorney General Parens Patriae Actions by Stephen J. Newman, Claude G. Szyfer, and Daniel N. Bertaccini – Stroock & Stroock & Lavan LLP

 

 

 


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