Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights Featured insights December 1, 2025 Client Update OCC updates BSA/AML examination procedures for community banks The OCC released new Bank Secrecy Act examination procedures to reduce regulatory burdens for community banks, continuing ... October 14, 2025 Client Update Key takeaways from the FDIC and OCC supervisory proposals The FDIC and OCC propose to codify safety and soundness and reputational risk. This update contains our key takeaways, vie... October 13, 2025 Client Update FinCEN and banking agencies release updated SAR guidance FinCEN and the federal banking agencies released new FAQs intended to streamline suspicious activity reporting obligations... August 19, 2025 Client Update Crypto’s integration into the traditional financial system is underway President Trump entered the White House in January 2025 promising to make the United States the “Crypto Capital of the W... July 18, 2025 Client Update GENIUS Act is enacted The President has signed the bipartisan GENIUS Act – a landmark stablecoin bill – into law. Our client update breaks d... July 18, 2025 Client Update GENIUS Act: AML/CFT and sanctions compliance The President has signed the bipartisan GENIUS Act into law. Our client update breaks down the AML/CFT and sanctions compl... See more insights August 22, 2011 Client Update FINRA Files Amended Communications Rules – Impact on Broker-Dealers The Securities and Exchange Commission recently published for comment FINRA’s proposal to revise its rules governing mem... 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... August 1, 2011 Client Update SEC Adopts Large Trader Reporting Requirements On July 26, 2011, the SEC adopted Rule 13h-1 under the Securities Exchange Act of 1934 to require large trader registratio... August 1, 2011 Articles & Books Transparency and Confidentiality in the Post Financial Crisis World -- Where to Strike the Balance? Existing supervisors, as well as the new institutions that the Dodd-Frank Act created, collect and aggregate an unpreceden... July 29, 2011 Client Update U.S. Dodd-Frank Act’s Application to Non-U.S. Issuers That are Not Financial Institutions – Rulemaking Progress Report Since July 21, 2010, when President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (t... July 28, 2011 Client Update Key Considerations Relating to Issuances of Contingent Convertible Instruments in or into the United States As a result of the various capital reforms arising out of the recent financial crisis, there has been increasing interest ... 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 ... July 21, 2011 Client Update SEC Proposes New Custody-Related Reporting and Audit Requirements for Broker-Dealers The SEC recently proposed amendments to Rule 17a-5 under the Securities Exchange Act of 1934 — the broker-dealer financi... July 11, 2011 Client Update Counterparty Credit Risk Management: Links Between Supervisory Guidance, Dodd-Frank and Basel Last week the federal banking agencies released interagency supervisory guidance designed to create new, and higher, best ... July 1, 2011 Client Update Dodd-Frank Progress Report - July 2011 Davis Polk is pleased to present the fourth Davis Polk Dodd-Frank Progress Report. This month, rules meeting 14 Dodd-Frank... Load More
December 1, 2025 Client Update OCC updates BSA/AML examination procedures for community banks The OCC released new Bank Secrecy Act examination procedures to reduce regulatory burdens for community banks, continuing ...
October 14, 2025 Client Update Key takeaways from the FDIC and OCC supervisory proposals The FDIC and OCC propose to codify safety and soundness and reputational risk. This update contains our key takeaways, vie...
October 13, 2025 Client Update FinCEN and banking agencies release updated SAR guidance FinCEN and the federal banking agencies released new FAQs intended to streamline suspicious activity reporting obligations...
August 19, 2025 Client Update Crypto’s integration into the traditional financial system is underway President Trump entered the White House in January 2025 promising to make the United States the “Crypto Capital of the W...
July 18, 2025 Client Update GENIUS Act is enacted The President has signed the bipartisan GENIUS Act – a landmark stablecoin bill – into law. Our client update breaks d...
July 18, 2025 Client Update GENIUS Act: AML/CFT and sanctions compliance The President has signed the bipartisan GENIUS Act into law. Our client update breaks down the AML/CFT and sanctions compl...
August 22, 2011 Client Update FINRA Files Amended Communications Rules – Impact on Broker-Dealers The Securities and Exchange Commission recently published for comment FINRA’s proposal to revise its rules governing mem...
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...
August 1, 2011 Client Update SEC Adopts Large Trader Reporting Requirements On July 26, 2011, the SEC adopted Rule 13h-1 under the Securities Exchange Act of 1934 to require large trader registratio...
August 1, 2011 Articles & Books Transparency and Confidentiality in the Post Financial Crisis World -- Where to Strike the Balance? Existing supervisors, as well as the new institutions that the Dodd-Frank Act created, collect and aggregate an unpreceden...
July 29, 2011 Client Update U.S. Dodd-Frank Act’s Application to Non-U.S. Issuers That are Not Financial Institutions – Rulemaking Progress Report Since July 21, 2010, when President Obama signed into law the Dodd-Frank Wall Street Reform and Consumer Protection Act (t...
July 28, 2011 Client Update Key Considerations Relating to Issuances of Contingent Convertible Instruments in or into the United States As a result of the various capital reforms arising out of the recent financial crisis, there has been increasing interest ...
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 ...
July 21, 2011 Client Update SEC Proposes New Custody-Related Reporting and Audit Requirements for Broker-Dealers The SEC recently proposed amendments to Rule 17a-5 under the Securities Exchange Act of 1934 — the broker-dealer financi...
July 11, 2011 Client Update Counterparty Credit Risk Management: Links Between Supervisory Guidance, Dodd-Frank and Basel Last week the federal banking agencies released interagency supervisory guidance designed to create new, and higher, best ...
July 1, 2011 Client Update Dodd-Frank Progress Report - July 2011 Davis Polk is pleased to present the fourth Davis Polk Dodd-Frank Progress Report. This month, rules meeting 14 Dodd-Frank...