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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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Closed-End Fund Activism: How to Level the Playing Field by Kenneth E. Burdon – Skadden, Arps, Slate, Meagher & Flom LLP

Navigating the SEC’s New CyberSecurity Disclosure Regime by Brian Finch, David Oliwenstein, and Sarah Madigan – Pillsbury Winthrop Shaw Pittman LLP

2024 Proxy Season Updates by Alyse A. Sagalchik and Lawrence D. Levin – Katten Muchin Rosenman

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Collateral Consequences: What Does the Expanding Advisers Act Regulatory Regime Mean for Private Fund Managers? by Christine A. Schleppegrell and Thomas J. Crociata – Morgan Lewis & Bockius LLP

How Recent Crypto Prosecutions May Crack the U.S. Code by Brian A. Jacobs, Thomas A. McKay, and A. Dennis Dillon – Morvillo Abramowitz Grand Iason & Anello PC

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Federal Regulators Sharpen Focus on Personal Device Use and Off-Channel Communications by Michelle N. Tanney and Edward J. Jacobs -BakerHostetlar

The Use of Data Analytics in Enforcement and Corporate Compliance by Claire Rajan and Ayyan Zubair – Allen & Overy LLP

New Exemption from Federal Broker-Dealer Registration for M&A Brokers by Daryl B. Robertson – Hunton Andrews Kurth LLP

Registered Investment Companies Look to Blockchain and Digital Securities to “Pull-Forward” and Modernize Offerings by Kenny S. Terrero, Matthew J. Kutner, and Bernie Zamchow – Sidley Austin LLP

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Emerging Issues in Digital Asset Litigation: Discovery and Beyond by Mark Cianci, Stefan Schropp, Antonia Miller, and Deborah Pabon Cifuentes – Ropes & Gray LLP

Navigating Cross-Border Economic Sanctions: Ensuring Compliance and Mitigating Risks by Zachary Goldman, Zack Kessler, Lester Ross, and Kenneth Zhou – Wilmer Cutler Pickering Hale and Dorr LLP

Finding Gold in Europe in Green While Maintaining Regulatory Compliance by Christopher D. Christian and Katie Carter

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U.S. Department of Justice’s Revised Compliance Guidance: DOJ Tackles Clawbacks and Ephemeral Messaging by Dan Kahn – Davis Polk & Wardwell

Preparing the “Background of the Merger” Section in Merger Proxy Statement by James Hu, Andrew Hammond, and Melissa Curvino – White & Case LLP

Conflicts of Interest in Asset-Backed Securitization: An Analysis of Proposed Rule 192 by Christopher Horn and Jon A. Schlotterback – Mayer Brown LLP

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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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Some Current Articles in
Banking & Financial Services:

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Social Media Accounts and Subchapter S Election – All Vital Assets by Mark A. Salzberg and Michelle N. Saney – Squire Patton Bogg

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The Telephone Consumer Protection Act: What You Need to Know and Recent Developments by Terance A. Gonsalves and Alina Ananian

Structuring Credit Facilities for Private Equity Funds by Jan Sysel – Frank, Harris, Shriver & Jacobson LLP

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Appraisal Bias: What the Government is Doing About it and Why Mortgage Lenders Need to Pay Attention by Bob Jaworski and Morgan Schulze – Holland & Knight LLP

Aggressive in the Endgame: The U.S. Bank Regulators’ Proposals Would Hike Bank Capital by Jonathan Gould, Josh Sterling, Nathan Brownback, Peter Petraro, Rubina Ali, and Locke McMurray

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Winning the Wild West: Cryptocurrency, Web3, and the New UCC Article 12 by Matthew C. Luzadder and Alla M. Taher – Kelley Drye & Warren LLP

Due Diligence in Fund Finance Transactions by J. Eric Holland and Melissa A. Sharp – Duane Morris LLP

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Key Issues in Standing to Challenge Liability Management-Related Transactions by Michael R. Handler – King & Spalding LLP

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

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