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Complete Issue (October 28, 2020)  Volume 53, Number 18


Author:  Stephanie A. Capistron (et al.).; Gayle E. Littleton (et al.).


Source: Volume 53, Number 18, October 15 2020 , pp.215-226(12)




Review of Securities & Commodities Regulation

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Abstract: 

The complete issue includes both articles listed in the table of contents above (Recent Developments in ETF Regulation (Capistron et al.) and Practical Implications of Supreme Court’s Decision Related to SEC’s Disgorgement Remedy (Littleton et al.))

Keywords: Rule 6C-11; Custom Creation and Redemption Baskets; Disclosure Requirements; Listing Standards; Diversification Limits; Liu v. SEC; Securities Exchange Act Section 21(d)(5); Civil Penalties; FCPA Actions

Affiliations:  1: Dechert LLP; 2: Jenner & Block.

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