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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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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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Regulatory Focus on “High-Risk” Registered Representatives and Recidivism by Corin R. Swift, Benjamin L. Nager, and Jordan S. Schwartz – Sidley Austin LLP

The Growing Importance of Fully Integrated Compliance Programs by William D. Semins and Jared Kephart – K&L Gates LLP

Regulatory Developments for Dual Registrants by Cheryl L. Haas and Alex M. Madrid – McGuireWoods LLP

Maintaining Privilege Protection of Internal Investigations by Sarah F. Warren – Fried Frank

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The Supreme Court’s Cyan Decision:  Implications for Securities Class Actions by Martin L. Seidel and Mary Eaton – Willkie Farr & Gallagher LLP

Hiring and Using Compliance Consultants by Brian L. Rubin and Rebekah R. Runyon – Eversheds Sutherland

Developments in M&A Litigation by Meredith Kotler and Mark McDonald – Cleary Gottlieb Steen & Hamilton LLP

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The Expanding Role of Lawyers in Addressing Cyber Risk at Financial Firms by Avi Gesser, Matthew Kelly, and Samantha Pfotenhauer – Davis Polk

Issuer Reporting and Disclosure:  The State of SEC Enforcement by David Woodcock and Alexandra Stanley – Jones Day

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SEC Enforcement Division Issues its 2018 Report Card by Marc J. Fagel, Mark K. Schonfeld, and Dan Li – Gibson, Dunn & Crutcher

Implications and Opportunities of Lucia v. SEC by Brian Neil Hoffman – Holland & Hart LLP

From Influential Stockholders to De Facto Controlling Stockholders:  Recent Trends and Updates in Delaware by Melissa Sawyer and Emily Lichtenheld – Sullivan & Cromwell LLP

Interval Funds Have Turned 25 and Are Increasingly Popular by George Zornada, Pablo Man, and Lindsay Grossman – K&L Gates

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Changes in Bank Regulation:  The Economic Growth, Regulatory Relief, and Consumer Protection Act by Dwight C. Smith and Randy Benjenk – Covington & Burling LLP

 

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Some Current Articles in
Banking & Financial Services:

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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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The Impact of Technological Innovations on Derivatives Documentation:  A Buy-Side Perspective by Blake Estes and Willa Cohen Bruckner –Alston & Bird LLP

New Outer Limits for the Extraterritorial Reach of the U.S. Bankruptcy Code by Lynn P. Harrison III and Peter J. Buenger – Curtis, Mallet-Prevost, Colt & Mosle LLP

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Anti-Money Laundering Enforcement at the U.S. DOJ:  Emphasizing Individual Accountability by Helen V. Cantwell, Meryl Holt Silverman, and Elizabeth Costello – Debevoise & Plimpton LLP

Rescue Loans and the Risk of Recharacterization by David M. Hillman and G. Scott Leonard – Schulte Roth & Zabel LLP

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The Impact of ACA International on TCPA Litigation by Arjun Rao and Julieta Stepanyan – Stroock & Stroock & Lavan LLP

North Korea:  Shipping and Supply Chain Risks and Risk Mitigation by Mario Mancuso, Sanjay Mullick, and Jeremy Iloulian – Kirkland & Ellis LLP

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LO Comp Compliance Strategies in a Tightening Market by
R. Andrew Arculin and Peter S. Frechette – Venable LLP

The Rise of Statute of Limitations Challenges in New York Mortgage Foreclosure Actions by Brian S. McGrath – McGlinchey Stafford

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Recent Trends in Consumer Litigation by David N. Anthony and Timothy J. St. George – Troutman Sanders LLP

Enforceability of Foreign Insolvency Judgments:  In Re Agrokor D. D. Et Al. by Lynn P. Harrison III and Peter J. Buenger – Curtis, Mallet-Prevost, Colt & Mosle 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