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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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Modernizing the Regulatory Framework for BDCs by Anna T. Pinedo – Mayer Brown LLP

Form U-5 Requirements for FINRA Member Firms by Tracey Salmon-Smith and Jennifer Chawla – Drinker Biddle & Reath LLP

International Financial Fraud Enforcement Trends in a Globalized World by Benjamin D. Singer and David R. Fitzgerald – O’Melveny & Myers LLP

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Investors Bancorp:  Structuring and Approving Non-Executive Director Compensation to Avoid Judicial Review by Michael D. Allen and Robert B. Greco – Richards, Layton & Finger, P. A.

The Watchdogs Are Being Watched by Jay A. Dubow and Ying Zeng – Pepper Hamilton LLP

How Institutional Dynamics Have Shaped Insider Trading Law by Brian A. Jacobs – Morvillo Abramowitz Grand Iason & Anello P.C.

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Multi-Jurisdictional Anti-Corruption Investigation and Enforcement Trends and Developments by Warren T. Allen and B. Michelle Bosworth – Skadden, Arps, Slate, Meagher & Flom

Inside the Role of Brazil’s CVM in Anti-Corruption Cases by Kara Brockmeyer and Ada Fernandez Johnson – Debevoise & Plimpton LLP

Developments in the Regulation of Fiduciary Investment Advice by Gwendolyn A. Williamson, Matthew S. Williams, and Thomas M. Ahmadifar – Perkins Coie LLP

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Current SEC Initiatives Impacting Foreign Private Issuers by Paul M. Dudek – Latham & Watkins

Reducing Third-Party Trade Compliance Risks by Peter Lichtenbaum and Eric Sandberg-Zakian – Covington & Burling LLP

Going Public without an IPO by John C. Partigan

The Shift in Delaware Appraisal Litigation by Michele D. Johnson, Blair Connelly, and Janet J. Hsu – Latham & Watkins

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EU General Data Protection Regulation:  Is the U.S. Funds Industry Ready? By Gretchen Scott – Goodwin

Proposed Swap Dealer Capital Requirements:  The CFTC’s Long Path Towards a More Risk-Based Approach by Katherine Cooper – Murphy & McGonigle PC

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The LSTA Case and the Future of Credit Risk Retention for Securitizations by Charles A. Sweet – Morgan Lewis & Bockius LLP

U.S. Risk Retention Rules:  What Constitutes an Open-Market CLO? by Deborah Festa and Andrew Keller – Milbank, Tweed, Hadley & McCloy LLP

 

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Some Current Articles in
Banking & Financial Services:

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Cyber-Security Insurance Issues in Mortgage Lending by Leslie C. Thorne – Haynes & Boone LLP

Discharge Injunction Violations in Consumer Bankruptcies by Sarah E. Edwards – McGlinchey Stafford, PLLC

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Case Studies in Exchange Offer Refinancings by Sandeep Qusba, Kathrine McLendon, and Randi Lynn Veenstra – Simpson Thacher & Bartlett LLP

Digital Marketing and Big Data – Managing Fair Lending Risk by Darren M. Welch and Anand S. Raman – Skadden, Arps, Slate, Meagher & Flom LLP 

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Affiliated Business Arrangements are on the Rise – With Them Come Statutory and Regulatory Hurdles by Phillip L. Schulman and Emily J. Booth-Dornfeld – Mayer Brown

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The Home Mortgage Disclosure Act:  Common Compliance Challenges by Sherry-Maria Safchuk and Frida Alim – Buckley Sandler LLP

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Ocean Rig:  Charting a Course through Chapter 15 Provisional Relief, Recognition, and Appeals by Evan C. Hollander and Emmanuel B. Fua – Orrick, Herrington & Sutcliffe LLP

Banks and their FinTech Partners:  Who Will Regulators Hold Accountable? by Stephen T. Middlebrook – Womble Bond Dickinson (US) LLP

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Developments at the Bureau of Consumer Financial Protection in the Mulvaney Era by Gerald S. Sachs and Joseph L. Robbins – Venable LLP

Globalization as an Advantage in Resolving Cross-Border Fraud Litigation by Katherine R. Catanese and Carly S. Krupnick – Foley & Lardner LLP

 

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Please click here to see a listing of articles in reverse chronological order 2000 - 2018 for The Review of Securities & Commodities Regulaton

Please click here to see a listing of articles in reverse chronological order 2000 - 2018 for The Review of Banking & Financial Services