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Complete Issue (December 4, 2019)  Volume 52, Number 21


Author:  Charles R. Mills (et al.).; Christopher D. Carlson.


Source: Volume 52, Number 21, December 1 2019 , pp.255-269(15)




Review of Securities & Commodities Regulation

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Abstract: 

The complete issue includes both of the articles listed in the table of contents above (The CFTC’s Enforcement Manual: Key Content and Use for Practitioners in CFTC Investigations (Mills) and Consecutive Private and Public Offerings for Registered Funds (Carlson)).

Keywords: Rights of Witnesses; Wells Process; Privileges; Confidentiality; 1940 Act-Only Registration Requirements; Avoidance of Regulatory Net Worth and Seed Audit Requirements

Affiliations:  1: Steptoe & Johnson LLP; 2: Seward & Kissel LLP.

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