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Complete Issue (February 7, 2018)  Volume 51, Number 3


Author:  Sarah L. Cave.; Christopher S. Petito.


Source: Volume 51, Number 03, February 1 2018 , pp.31-42(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 (Caught in Traffic: The Scope of the SEC’s Extraterritorial Authority (Cave) and Recent Staff Guidance on the Custody Rule under the Investment Advisers Act of 1940 (Petito)).

Keywords: Morrison v. National Australia Bank Ltd; Section 929P(B) of Dodd-Frank; Conduct-and-Effects and Transactional Tests; “Inadvertent Custody”; Standing Letters of Authorization; First-Party Transfers

Affiliations:  1: Hughes Hubbard & Reed LLP; 2: Willkie Farr & Gallagher, LLP.

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