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Complete Issue (October 6, 2021)  Volume 54, Number 17


Author:  Kelley A. Howes.; Paulit Pike &  David M. Geffen.


Source: Volume 54, Number 17, October 1 2021 , pp.205-216(12)




Review of Securities & Commodities Regulation

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Abstract: 

The complete issue contains both of the articles listed in the table of contents above (Preparing for and Managing an SEC Examination of a Registered Investment Adviser (Howes) and Fund Directors’ Oversight of Investments in Cryptocurrencies and Other Digital Assets (Pike)).

Keywords: National Exam Program (“NEP”); NEP Examination Priorities; Cryptocurrency Regulation; Regulatory “Pinch Points” for Funds and Directors

Affiliations:  1: Morrison & Foerster LLP; 2: Ropes & Gray LLP.

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