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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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Anti-Money Laundering Enforcement:  The Rise of Individual Liability for Compliance Professionals by Sharon Cohen Levin, Elizabeth J. Hogan, and Tamar Kaplan-Marans – WilmerHale

Crowdfunding under the SEC’s New Rules by Stephen P. Wink and Brett M. Ackerman – Latham & Watkins

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The New Focus on Individuals Responsible for Corporate Misconduct by Stephanie Yonekura and Deepak Singh – Hogan Lovells LLP

Background Checks and the FCRA:  How Employers Can Mitigate One Risk without Creating another One by Michael P. Daly and Richard M. Haggerty – Drinker Biddle & Reath LLP

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Transactions in Unsponsored American Depositary Receipts by Tom A. Paskowitz, Daniel A. McLaughlin, and Benjamin F. Burry – Sidley Austin LLP

Four Key SEC Whistleblower Trends – And How Companies can Prepare for Them by Matthew T. Martens, Arian M. June, and Caroline Schmidt – WilmerHale

Concurrent Regulation D and Regulation S Offerings in EB-5 Financings by Mariza McKee and Robert Ahrenholz – Kutak Rock LLP

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Developments and Trends in CFTC Enforcement by Lawrence Zweifach, Arthur Long, Joel Cohen, Robert Trenchard, Jeffrey Steiner, and Amy Mayer – Gibson Dunn & Crutcher LLP

Tips for Strong Cyber Liability Insurance by Thomas H. Bentz, Jr. – Holland & Knight

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2015:  A Year in Review for Investment Advisers by Anastasia Rockas – Skadden, Arps, Slate, Meagher & Flom LLP

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The Department of Labor’s New Conflict-of-Interest Regulations by Robert Sichel, Kristina Zanotti, and Ruth Delaney – K&L Gates LLP

Recent Developments in Mutual Fund Fee Litigation by David A. Kotler, Joanna Barry, and Catherine Wigglesworth – Dechert

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Some Current Articles in
Banking & Financial Services:

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Permissibility of Third-Party Releases in Non-Asbestos Cases by William P. Weintraub – Goodwin Procter LLP

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The 2015 Card Act Report by Andrew Owens and Adam Maarec – Davis Wright Tremaine LLP

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Sanctions-Related Challenges for Payments Systems by Thomas Feddo – Alston & Bird

When the Interests of Creditors’ Committee Members Diverge by Sharon L. Levine and Ryan B. White – Saul Ewing LLP

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FINCEN’S Final Beneficial Ownership Rule by Michael Nonaka and Lucille C. Andrzejewski – Covington & Burling LLP

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Recent Developments under the Servicemembers Civil Relief Act and the Military Lending Act by Stephen J. Newman and Brian C. Frontino – Stroock & Stroock & Lavan LLP

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Public Policy Limitations of Chapter 15 of the Bankruptcy Code by Kimberly A. Posin and Adam E. Malatesta – Latham & Watkins

 

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Please click here to see a listing of articles in reverse chronological order from 2000 - 2016 for The Review of Securities & Commodities Regulaton

Please click here to see a listing of articles in reverse chronological order from 2000 - 2016 for The Review of Banking & Financial Services