Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights August 22, 2011 Client Update FINRA Files Amended Communications Rules – Impact on Structured Products On July 14, 2011, the Financial Industry Regulatory Authority, Inc. filed with the Securities and Exchange Commission a pr... July 22, 2011 Client Update Dodd-Frank Progress Report - One-Year Anniversary Davis Polk is pleased to present its One-Year Anniversary Dodd-Frank Progress Report, which provides statistical analysis ... June 17, 2011 Client Update CFTC and SEC Act to Defer Dodd-Frank Swaps Requirements The CFTC and SEC took actions this week that are expected to defer most Dodd-Frank requirements regulating swaps and secur... June 9, 2011 Client Update SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which ... June 1, 2011 Client Update Dodd-Frank Progress Report - June 2011 Davis Polk is pleased to announce the third installment of the Davis Polk Dodd-Frank Rulemaking Progress Report. This mont... May 18, 2011 Client Update SEC Proposal Would Replace Regulation M Exemption for Investment Grade Securities As part of its efforts to remove reliance on and references to credit ratings from its rules and forms as required by Sect... May 17, 2011 Client Update 60 Days - Over 175 New Derivatives Provisions On July 16, 2011—60 days from now—over 175 new Dodd-Frank derivatives provisions automatically go into effect. Many of... May 2, 2011 Client Update Treasury Proposes FX Swap and Forward Exemption On April 29, 2011, the United States Department of the Treasury issued a proposed determination that would exempt foreign ... April 4, 2011 Client Update Dodd-Frank Progress Report - April 2011 Davis Polk is pleased to announce the first installment of the “Davis Polk Dodd-Frank Rulemaking Progress Report.” Thi... March 18, 2011 Client Update SEC Proposal Clarifies No Change to “Beneficial Ownership” Rules for Swaps The SEC proposed yesterday to readopt the beneficial ownership rules currently in effect to preserve the status quo with r... Load More
August 22, 2011 Client Update FINRA Files Amended Communications Rules – Impact on Structured Products On July 14, 2011, the Financial Industry Regulatory Authority, Inc. filed with the Securities and Exchange Commission a pr...
July 22, 2011 Client Update Dodd-Frank Progress Report - One-Year Anniversary Davis Polk is pleased to present its One-Year Anniversary Dodd-Frank Progress Report, which provides statistical analysis ...
June 17, 2011 Client Update CFTC and SEC Act to Defer Dodd-Frank Swaps Requirements The CFTC and SEC took actions this week that are expected to defer most Dodd-Frank requirements regulating swaps and secur...
June 9, 2011 Client Update SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which ...
June 1, 2011 Client Update Dodd-Frank Progress Report - June 2011 Davis Polk is pleased to announce the third installment of the Davis Polk Dodd-Frank Rulemaking Progress Report. This mont...
May 18, 2011 Client Update SEC Proposal Would Replace Regulation M Exemption for Investment Grade Securities As part of its efforts to remove reliance on and references to credit ratings from its rules and forms as required by Sect...
May 17, 2011 Client Update 60 Days - Over 175 New Derivatives Provisions On July 16, 2011—60 days from now—over 175 new Dodd-Frank derivatives provisions automatically go into effect. Many of...
May 2, 2011 Client Update Treasury Proposes FX Swap and Forward Exemption On April 29, 2011, the United States Department of the Treasury issued a proposed determination that would exempt foreign ...
April 4, 2011 Client Update Dodd-Frank Progress Report - April 2011 Davis Polk is pleased to announce the first installment of the “Davis Polk Dodd-Frank Rulemaking Progress Report.” Thi...
March 18, 2011 Client Update SEC Proposal Clarifies No Change to “Beneficial Ownership” Rules for Swaps The SEC proposed yesterday to readopt the beneficial ownership rules currently in effect to preserve the status quo with r...