Home      Login


Complete Issue (December 22, 2021)  Volume 54, Number 22


Author:  Amy J. Greer et al..; Paul M. Architzel et al..


Source: Volume 54, Number 22, December 15 2021 , pp.269-282(14)




Review of Securities & Commodities Regulation

next article > |return to table of contents

Abstract: 

The complete issue includes both of the articles listed above (Preparing for Regulatory Examinations Evaluating the Digitization of Trading and Investment Advice (Greer) and Swap Execution Facilities (Architzel)).

Keywords: Gamification and Digital Engagement; Account Opening Due Diligence; Best Execution; Payment for Order Flow; CFTC SEF Framework; Block Trades; Error Trades; Uncleared Swap Confirmations; Name Give-Up

Affiliations:  1: Baker & McKenzie LLP; 2: Wilmer Cutler Pickering Hale.

Subscribers click here to open full text in PDF.
Non-subscribers click here to purchase this article. $90

next article > |return to table of contents