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Complete Issue (July 17, 2019)  Volume 52, Number 13


Author:  Stephen P. Wink (et al.).; Ralph C. Ferrara (et al.).


Source: Volume 52, Number 13, July 15 2019 , pp.149-160(12)




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 (Digital Advice Platforms: Compliance and Legal Challenges (Wink et al.) and SEC Breakthrough Brings Déjà Vu: Lorenzo Court Reclaims Expansive Scope of Federal Securities Laws (Ferrara et al.)).

Keywords: Robo-Advisers; SEC Transamerica Order; SEC Wealthfront and Hedgeable Enforcement Orders; FINRA Report on Digital Investment Advice; Janus v. First Derivative Traders; Lorenzo v. SEC

Affiliations:  1: Latham & Watkins LLP; 2: Proskauer Rose LLP.

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