Insights

 
Our lawyers produce a wealth of substantive, timely and practical resource materials for our clients and friends of the firm. Listed separately below are client memos and alerts, articles and books, and podcasts.
January 15, 2021 SEC and CFTC Enforcement Update
Client Newsletter

 

 
 
 
 
 
January 13, 2021 SEC Takes No-Action Position on Custody of Digital Asset Securities by Special Purpose Broker-Dealers
Client Memorandum
January 13, 2021 The Road Ahead for Financial Regulatory Reform in a Time of Democrats in Control
Client Memorandum
January 4, 2021 Veto Override Enacts Expanded SEC Disgorgement Authority
Client Memorandum
January 4, 2021 The Anti-Money Laundering Act of 2020 – Key Takeaways
Client Memorandum
December 23, 2020 Pandemic Relief Package – PPP and Federal Reserve Provisions
Client Memorandum
December 23, 2020 FDIC Issues Final Rule on Supervision of ILC Holding Companies
Client Memorandum
December 22, 2020 Banking Agencies Propose Cyber Reporting Rule: Implications for Cybersecurity Compliance
Client Memorandum
December 22, 2020 SEC Disgorgement Authority Would Expand in National Defense Authorization Act
Client Memorandum
December 18, 2020 SEC Adopts New Rule Governing Registered Funds’ Use of Derivatives
Client Memorandum
December 7, 2020 SEC Modernizes Framework for Registered Fund Valuation Practices under Investment Company Act
Client Alert
December 7, 2020 SEC Proposes Amendments and Temporary Rules to Modernize Rule 701 and Form S-8 and Allow for “Platform Worker” Participation
Client Memorandum
December 4, 2020 CFTC Reports Record Year for Enforcement
Client Memorandum
December 3, 2020 Post-Election Update: U.S. Federal Cannabis Legislation
Client Memorandum
November 16, 2020 United States Bans Certain Investments by U.S. Persons in Companies Linked to the Chinese Military
Client Memorandum
November 9, 2020 Financial Services Regulatory Reform in the Biden Administration: Key Areas of Focus
Client Memorandum
November 3, 2020 SEC Announces 2020 Enforcement Results
Client Memorandum
October 23, 2020 New Chinese Law Passed to Create the Nation’s First Comprehensive Export Control Framework
Client Memorandum
October 19, 2020 Stock Buybacks Under 10b5-1 Plan Draw SEC Rebuke
Client Memorandum
October 16, 2020 SEC Whistleblower Amendments May Increase Reporting in Smaller Cases
Client Memorandum
October 16, 2020 SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements
Client Memorandum
October 15, 2020 State Department Sends Hong Kong Autonomy Act Report to Congress
Client Memorandum
October 7, 2020 SBA Guidance: M&A Transactions and PPP Borrowers
Client Memorandum
October 5, 2020 SEC Maintains Its Focus on Perk Disclosures
Client Memorandum
October 1, 2020 SEC Signals Increased Penalties Post-Liu
Client Memorandum
September 29, 2020 SEC No-Action Letter Facilitates Secondary Market Trading of Digital Asset Securities
Client Memorandum
September 29, 2020 FTC Proposes Rule Changes and Issues Updated Guidance for Hart-Scott-Rodino Filings
Client Memorandum
September 23, 2020 OCC Confirms that National Banks May Take Deposits that Serve as Reserves for Fiat-Pegged Stablecoins
Client Memorandum
September 21, 2020 DOJ Antitrust Division Warns Civil Investigative Demand Recipients Regarding Risk of Self-Incrimination
Client Memorandum
September 14, 2020 Main Street Support for Nonprofits
Client Memorandum
September 8, 2020 DOJ Issues Updated Merger Remedies Manual, Emphasizing a Strong Preference for Structural Remedies
Client Memorandum
September 1, 2020 SEC Expands Access to Private Offerings
Client Memorandum
August 20, 2020 The Federal Reserve And Central Bank Digital Currencies
Client Memorandum
August 17, 2020 FedNow: the Federal Reserve’s Planned Instant Payments Service
Client Memorandum
August 5, 2020 10 Key Takeaways from the Federal Reserve’s Final Rule on CSI and FOIA
Client Memorandum
July 29, 2020 DOJ and SEC FCPA Resolution Tracker
Client Newsletter
July 27, 2020 OCC Confirms that National Banks May Provide Cryptocurrency Custody Services
Client Memorandum
July 24, 2020 Securities and Exchange Commission Issues Supplemental Guidance Concerning Proxy Voting Responsibilities of Investment Advisers
Client Alert
July 22, 2020 The OCC Proposes Two Standards for the True Lender Question
Client Memorandum
July 20, 2020 U.S. Prudential Regulators Finalize Amendments to Swap Margin Rule
Client Memorandum
July 16, 2020 President Trump Signs Hong Kong Autonomy Act, Issues Executive Order Authorizing Sanctions and Other Measures
Client Memorandum
July 14, 2020 Volcker Rule: Updated Flowcharts
Client Memorandum
July 9, 2020 DOJ and SEC Publish Updated FCPA Resource Guide
Client Memorandum
July 8, 2020 DOL Officially Reinstates Original Fiduciary Rule and Proposes New Class Exemption for Investment Advice Fiduciaries
Client Memorandum
July 1, 2020 DOJ and FTC Issue Final Revised Vertical Merger Guidelines
Client Memorandum
June 26, 2020 Final Volcker Rule 2.1 – Covered Funds
Client Memorandum
June 25, 2020 Expansive New California Privacy Measure Cleared for November Ballot
Client Memorandum
June 24, 2020 The SEC and FINRA’s Use of Big Data in Investigations and the Implications for Defense Counsel

The Review of Securities & Commodities Regulation

June 24, 2020 A Range of Outcomes on Merger Challenges: Recent Developments and Strategic Implications
Daily Journal
June 23, 2020 Supreme Court Preserves SEC's Disgorgement Authority, But with Limits
Client Memorandum

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