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- The Trump Transition and Possible Directions for Financial Regulatory Reform
November 17, 2016
- FINRA Proposes Reporting Requirements for Treasury Securities
July 27, 2016
- SEC Adopts Business Conduct Rules for Security-Based Swap Dealers
May 24, 2016
- U.S. Uncleared Swap Margin, Capital and Segregation Rules
January 22, 2016
- CFPB Brings First Ever Data Security Enforcement Action: Review and Analysis
March 09, 2016
- Securities Litigation Update: Constitutional Challenges to SEC’s Administrative Courts Gain Momentum
September 24, 2015
- SEC Proposes Dodd-Frank Clawback Rule
July 8, 2015
- SEC Re-Proposes Rules on Arranging, Negotiating or Executing Security-Based Swaps in the United States
June 1, 2015
- SEC Issues Reporting Rules for Security-Based Swaps
March 2, 2015
- SEC Proposes to Exempt Certain Communications Involving Security-Based Swaps from Securities Act Registration
September 16, 2014
- Regulators Re-Propose Uncleared Swap Margin, Capital and Segregation Rules for Swap Entities
September 15, 2014
- SEC Adopts Money Market Fund Reforms
August 5, 2014
- SEC Adopts Security-Based Swap Cross-Border Definitional Rule
July 3, 2014
- SEC Guidance on Use of Proxy Advisory Firms for Voting Proxies
July 1, 2014
- SEC Proposes Recordkeeping, Reporting and Notification Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
May 16, 2014
- M&A Brokers Receive No-Action Relief from Broker-Dealer Registration
February 12, 2014
- November 18, 2013
- SEC Proposes Crowdfunding Rules Under JOBS Act >
October 24, 2013
- SEC Releases Final Municipal Advisor Registration Rules Part II: Permanent Registration Process
October 7, 2013
- U.S. District Court Upholds Conflict Minerals Rules
July 24, 2013
- SEC Issues Guidance on Conflict Minerals
May 31, 2013
- Supreme Court Hears Oral Argument Involving “Reverse Payment” Patent Infringement Settlements
March 26, 2013
- Implementing the SEC’s Final Conflict Mineral Rules: Guidelines and Commonly Asked Questions
October 26, 2012
- SEC Adopts Final Rules Regarding Dodd-Frank Reporting Requirements for Conflict Minerals and Resource Extraction Issuers
August 22, 2012
- SEC and CFTC Finalize Swap Product Definitions: The Title VII Swap Countdown Begins
July 11, 2012
- SEC Proposes Cross-Border Security-Based Swap Rules
May 16, 2012
- CFTC and SEC Adopt Final Swap Dealer, Major Swap Participant and Eligible Contract Participant Definitions
May 2, 2012
- SEC Issues Exemptions from Large Trader Reporting Rule
April 23, 2012
- Preparing Your 2011 Form 20-F
January 17, 2012
- SEC Large Trader Rule: Impact on Corporations and Related Individuals
October 5, 2011
- SEC Adopts Large Trader Reporting Requirement
August 1, 2011
- Dodd-Frank Act’s Application to Non-U.S. Issuers That are Not Financial Institutions – Rulemaking Progress Report
July 29, 2011
- SEC’s Final Rules Modify Form S-3 and F-3 Transaction Eligibility Criteria for Debt Issuances
July 26, 2011
- SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps
June 9, 2011
- SEC Proposal Clarifies No Change to “Beneficial Ownership” Rules for Swaps
March 18, 2011
- SEC Study on the Fiduciary Duty of Investment Advisers and Broker-Dealers
January 24, 2011
- SEC Proposes Rules to Implement Dodd-Frank Mine Safety Disclosure Requirements
January 18, 2011
- SEC Proposes Rules to Implement Dodd-Frank Requirements for Conflict Minerals Originating in the Democratic Republic of Congo
January 18, 2011
- SEC Proposes Rules Implementing Dodd-Frank Disclosure Requirements for Resource Extraction Issuers
January 18, 2011
- MSRB Extends Application of Its Rules and Registration to Municipal Advisors
November 3, 2010
- SEC Shines a Spotlight on Short-Term Borrowings: Issues Guidance and Proposes New Disclosure Requirements
September 20, 2010
- U.S. Dodd-Frank Act’s Application to Non-U.S. Issuers That are Not Financial Institutions
August 13, 2010
- Spotlight on New Disclosure Requirements for Mining and Natural Resource Companies in Dodd-Frank Act
July 23, 2010
- Summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Enacted into Law on July 21, 2010
July 21, 2010
- Guidance on Use of Credit Ratings in Securities Offerings Following Dodd-Frank
July 21, 2010
- Dodd-Frank Wall Street Reform and Consumer Protection Act: Preliminary Assessment of Provisions Effective Immediately or Very Soon After Enactment
July 21, 2010
- Davis Polk Regulatory Implementation Slides
July 9, 2010
