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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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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

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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

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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

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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

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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

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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:

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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

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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

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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

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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

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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

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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

 

 

 

 

 

 

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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