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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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Determining and Disclosing the Effect of Broker Non-Votes by John Mark Zeberkiewicz and Robert B. Greco – Richards, Layton & Finger, P.A.

Shareholder Litigation for Waste of Corporate Assets in Internal FCPA Investigations by Benjamin Galdston – Bernstein Litowitz Berger & Grossman LLP

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Recordkeeping:  Recent Rule Amendments and Other Developments by Michael Philipp, Akshay Belani, Christine Lombardo, and Sarah Riddell – Morgan, Lewis & Bockius LLP

Virtual-Only Shareholder Meetings – Are They a Good Idea for Your Company? by Mary J. Mullany – Ballard Spahr LLP

Blockchain Basics for Investment Managers:  A Token of Appreciation by Jay G. Baris and Joshua Ashley Klayman – Shearman & Sterling LLP and Morrison & Foerster LLP

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Caught in Traffic:  The Scope of the SEC’s Extraterritorial Authority by Sarah L. Cave – Hughes Hubbard & Reed LLP

Recent Staff Guidance on the Custody Rule under the Investment Advisers Act of 1940 by Christopher S. Petito – Willkie Farr & Gallagher, LLP

Cyan and the Future of Securities Class Actions in State Court by Maeve L. O’Connor and Elliot Greenfield – Debevoise & Plimpton LLP

Advertising and Social Media for Investment Advisers by Jeff Blumberg and Brian Jacobson – Faegre Baker Daniels

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FCPA Update:  Third-Party Risks and Enforcement Actions by Michael H. Huneke and Ashley R. Hodges – Hughes Hubbard & Reed LLP 

Regulatory Developments Relating to Actively Managed ETFs by Eric Simanek – Sullivan & Worcester LLP

The Changing Tide of Delaware Deal Litigation by Paula Anderson – Shearman & Sterling LLP 

Iran Sanctions:  Where Are We Now? By Sean Kean – Hughes Hubbard & Reed LLP

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CFTC Enforcement:  Best Practices and Recent Developments by Mary P. Hansen, James G. Lundy, and Antoinette M. Snodgrass – Drinker Biddle & Reath LLP 

Technology Outsourcing by National Securities Exchanges and Registered Clearing Agencies by Wenchi Hu – Latham & Watkins, LLP 

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The Impact of Salman V. United States on Downstream Tippee Prosecutions by Brian A. Jacobs and Priya Raghavan – Morvillo Abramowitz Grand Iason & Anello P.C. 

The New Fiduciary Standard for Broker-Dealers by Hillel T. Cohn – Morrison & Foerster LLP 

Executive Compensation Litigation Update by Arthur H. Kohn and Julia M. Rozenblit – Cleary Gottlieb Steen & Hamilton LLP 

The New Pay Ratio Disclosure by Maia Gez – Gibson, Dunn & Crutcher LLP 

 

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Some Current Articles in
Banking & Financial Services:

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Buy-Side Beware:  New Limits on Insolvency-Related Remedies in Certain QFCs by Philip T. Hinkle, Robert H. Ledig, and Shayna Gilmore – Dechert LLP

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Catastrophe Bonds:  The Convergence of Capital Markets and Insurance by Lorraine D. Mandel – Private Practice

Card Act Report:  The CFPB Departs from Precedent by Robin Nunn, Jonathan Engel, Chris Chamness, and Adam Maarec – Davis Wright Tremaine.

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Recent Distressed Financings:  Trends and Losses Learned by Van C. Durrer, II

The U.S. Regulatory Environment for Online Small-Business Lending by Jennifer Ballard, Catherine Brennan, Conor French, and Eric Johnson – MarketCounsel; Hudson Cook, LLP; and Funding Circle

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TRID:  More Changes Adopted but No “Black Hole” Fix (Yet) by Robert M. Jaworski – Reed Smith LLP

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Defeating Class Certification in Telephone Consumer Protection Act Cases by Neal Marder, Andrew Jick, and Kelly Handschumacher – Akin Gump Strauss Hauer & Feld LLP 

Electronic Retail Installment Sales Contracts in California by Margo H.K. Tank and David Whitaker – Buckley Sandler LLP

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Bank Partnership Programs and the Regulatory Response by Robert Savoie -  McGlinchey Stafford PLLC

 

 

 

 

 

 

 

 

 

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Please click here to see a listing of articles in reverse chronological order 2000 - 2017 for The Review of Securities & Commodities Regulaton

Please click here to see a listing of articles in reverse chronological order 2000 - 2017 for The Review of Banking & Financial Services