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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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The CFTC’s Enforcement Manual:  Key Content and Use for Practitioners in CFTC Investigations by Charles R. Mills and Stacie R. Hartman – Steptoe & Johnson LLP

Consecutive Private and Public Offerings for Registered Funds by Christopher D. Carlson – Seward and Kissel LLP

Responsible Investing:  Legal and Compliance Considerations for Asset Managers by Vadim Avdeychik – Paul Hastings LLP

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Dealing with Emotions in the Resolution of Business Disputes by C. Edward Dobbs -  Parker Hudson Rainer & Dobbs LLP

Issues and Trends in Event-Driven Securities Class Actions by Matthew A. Schwartz and Michael R. Mayer – Sullivan & Cromwell LLP

When Passive Hedge Funds Decide to Become Activist by Frank Zarb – Proskauer Rose LLP

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CFTC Enforcement Advisory on Foreign Corrupt Practices by Kathleen S. McArthur and Daniel J. Lasko – Sullivan & Cromwell LLP

Structured Finance Special Purpose Vehicles and FinCEN’s CDD Rule by Jeremy Kuester – White & Case LLP

SEC Focus on Private Equity:  It’s Back! By Richard D. Marshall and Mark D. Goldstein – Katten Muchin Rosenman LLP

Goodwill under Scrutiny:  How the SEC is Increasingly Targeting Goodwill Impairments and Ways to Reduce Risk by Jason H. Smith – Gibson, Dunn & Crutcher

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Updates to the Public Company Disclosure Rulebook by Hillary H. Holmes and Jordan G. Rex – Gibson, Dunn & Crutcher LLP

Corporate Compliance Programs Take Center Stage in 2019 with New Guidance from the DOJ and OFAC by Adam Lurie, Doug Davison, and Sean Solomon – Linklaters LLP

Legal Ethics Considerations in Class Action Litigation by Neal R. Marder and Kelly Handschumacher – Akin Gump Strauss Hauer & Feld LLP

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Broker-Dealers Selling Annuities:  Preparing for the Best-Interest Standard by Issa Hanna – Eversheds Sutherland (US) LLP

Preparing 2019 Registration Statements and Annual Reports:  What Foreign Private Issuers and Their Counsel Need to Know by Phyllis G. Korff and Candace R. Jackson – Mayer Brown

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Digital Advice Platforms:  Compliance and Legal Challenges by Stephen P. Wink, Naim Culhaci, and Deric Behar – Latham & Watkins LLP

SEC Breakthrough Brings Déjà vu:  Lorenzo Court Reclaims Expansive Scope of Federal Securities Laws by Ralph C. Ferrara, Erica Taylor Jones, and Corey I. Rogoff – Proskauer Rose LLP

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Cleared Derivatives Markets — Customer Protection and Resolution Tools by Vincent E. Lazar and William A. Williams – Jenner & Block LLP

Howey, Ralston Purina and the SEC’s Digital Asset Framework by Joseph A. Hall – Davis Polk & Wardwell LLP

SEC Proposes Summary Prospectus for Variable Insurance Products by Gary O. Cohen – Carlton Fields, P.A.

 

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Some Current Articles in
Banking & Financial Services:

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Untangling Compliance Issues in Credit Reporting, Debt Collection, and Bankruptcy by Justin A. Kesselman – Arent Fox LLP

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The Risks of Mortgage Lending in the Era of Social Media by Eric Goldberg and Kaja Elmer – Akerman LLP

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Federal Consumer Protection Methods:  CFPB’s Investigational Hearings by J. H. Jennifer Lee, Julia Johnson, and Jodi Tai – Arent Fox

The Ultra Effect:  Litigating Make-Whole Premiums and Post-Petition Interest by Matthew Warren and Sarah Primrose – King & Spalding LLP

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Compliance in a UDAAP Risk Environment by Anthony Alexis and Levi Swank – Goodwin

Heightened AML Risks for Entities Doing Business with Shell Companies by Ryan Fayhee and Samuel Salyer – Hughes Hubbard and Reed

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Conducting a Compliant International Cross-Border Business: GDPR and More by Linda L. Fuerst – Norton Rose Fulbright Canada LLP

What to Do if Your Third Party is Embroiled in a Corruption Scandal by Brigida Benitez – Steptoe & Johnson LLP

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The CFPB’s Prepaid Account Rule by Eli Rosenberg – Baird Holm LLP

Bankruptcy Remote Entities, Substantive Consolidation, and the Future after Transwest by M. Douglas Flahaut – Arent Fox LLP

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The Potential Implication of the Supreme Court’s Holding in Merit Management by Brandon M. Hammer and Reshama J. Patel – Cleary Gottlieb Steen & Hamilton LLP

Debt Collection, Convenience Fees, and the FDCPA by Jon David D. Langlois and Elizabeth R. Bailey – Buckley LLP

 

 

 

 

 

 

 

 

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Please click here to see a listing of articles in reverse chronological order 2000 - June 2019 for The Review of Securities & Commodities Regulaton

Please click here to see a listing of articles in reverse chronological order 2000 - June 2019 for The Review of Banking & Financial Services