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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
article click on the title.

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Some Current Articles in
Securities & Commodities Regulation:


Ethical Issues Arising From Client Deposition Perjury by Matthew A. Schwartz and Aaron J. Blake – Sullivan & Cromwell LLP

Key Regulatory and Compliance Considerations for Small and Regional Broker/Dealers by Paula D. Shaffner and Brandon M. Riley – Stradley Ronan Stevens & Young LLP

The Unique Impact of Recent SEC Rules on Foreign Private Issuers by Paul M. Dudek – Latham & Watkins


The Rise of Mutual Fund Alternatives: Collective Investment Trusts and Retail Separately Managed Accounts by Vadim Avdeychik and Emily Picard – Clifford Chance US LLP

Solving Corporate Problems: Enforcement and Independent Investigation Under the Biden Administration by Rizwan A. Qureshi and Justin Angotti – Reed Smith LLP


The SEC’s Proposed Rule for Reporting Large Security-Based Swap Positions by Elanit Snow and Peter T. Martin – Proskauer Rose LLP

Dealing With (and How Not to Deal With) Whistleblowers by Terri L. Chase, David Peavler, and Alexander J. Wilson – Jones Day


The SEC’s New 10B5-1 Rules and Emerging Insider Trading Policy Best Practices by Michael L. Arnold and Lisa M. Kohl – Cravath, Swaine & Moore LLP

Disaggregating the Causes of Stock Drops in Securities Fraud Cases by Matthew L. Mustokoff – Kessler Topaz Meltzer & Check LLP

Recent Developments in Private Company Financing Trends by Lianna Whittleton – Wilson Sonsini Goodrich & Rosati

SEC Regulatory and Enforcement Developments: What Boards of Directors and Audit Committees Need to Know by Jennifer S. Leete, Elad Roisman, and Lisa M. Kohl – Cravath, Swaine & Moore LLP

End-of-Life Options for Ex-SPACs by Jenny Hochenberg, Madlyn Gleich Primoff, and Aashim Usgaonkar – Freshfields, Bruckhaus Deringer US LLP


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


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Some Current Articles in
Banking & Financial Services:


The 2023 Banking Crisis: A Primer on Bank Receiverships by Carl Fornaris – Winson & Strawn LLP

Bank/Fintech Partnerships – Solving for a Nationwide Product and Service by Jedd Bellman and Daniel Bellovin – Herrington & Sutcliffe LLP


FDIC Releases Report on Options for Deposit Insurance Reform by Matthew Bisanz and Saundrea Rupert-Shropshire – Mayer Brown LLP

Determining and Managing Conflicts of Interest in Bankruptcy Cases by Sarah L. Primrose and Brooke L. Bean – King & Spalding LLP


Considerations and Strategies for 2023’s Fundraising Market by Victoria S. Forrester, Matthew Goldstein, and Conrad van Loggerenberg – Paul, Weiss, Rifkind, Wharton & Garrison LLP

Unique Challenges in Cryptocurrency Bankruptcies by Deborah Kovsky-Apap – Troutman Pepper Hamilton Sanders LLP


LIBOR’s Last Leg: Legislation and Synthetic LIBOR Ease the Transition to SOFR by Amy McDaniel Williams, Michael Kruse, and Tina Locatelli – Hunton, Andrews Kurth LLP

Minority Lenders Beware: How Majority Holders in Distressed Financings are Leveraging Their Rights at the Expense of Minority Holders by Elie Worenklein and Mitchell Carlson – Debevoise & Plimpton LLP


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







Please click here to see a listing of articles in reverse chronological order 2000 - June 2023 for The Review of Securities & Commodities Regulaton

Please click here to see a listing of articles in reverse chronological order 2000 -June 2023 for The Review of Banking & Financial Services