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.
July 14, 2017 Treasury Report on Regulatory Reform: Key Recommendations and Initial Regulatory Responses on Capital, Stress Testing and Liquidity
Client Memorandum
June 27, 2017 Regulatory Reform for Mid-Sized and Regional Banks: Where Are We at Mid-Year?
Client Memorandum
May 15, 2017 CFTC’s Project KISS Gets Underway: Giancarlo Makes the First Move
Client Memorandum
May 8, 2017 Financial CHOICE Act 2.0 Passes House Financial Services Committee
Client Memorandum
November 17, 2016 The Trump Transition and Possible Directions for Financial Regulatory Reform
Client Memorandum
October 19, 2016 Security-Based Swap Implementation Timing Update
Client Memorandum
August 22, 2016 SEC Adopts Amendments to Regulation SBSR
Client Memorandum
May 24, 2016 SEC Adopts Business Conduct Rules for Security-Based Swap Dealers
Client Memorandum
January 22, 2016 U.S. Uncleared Swap Margin, Capital and Segregation Rules
Client Memorandum
December 29, 2015 SEC Proposes New Limits on Registered Funds’ Derivatives Use
Client Memorandum
December 11, 2015 SEC Proposes New Rule Governing the Use of Derivatives by Registered Investment Companies
Client Memorandum
November 12, 2015 U.S. Bank Regulators’ Uncleared Swap Margin, Capital and Segregation Rules
Client Memorandum
September 30, 2015 CFTC Modifies Proposed Aggregation Standards for Owned Entities under its Position Limit Rules
Client Memorandum
September 28, 2015 CFTC Brings First Bitcoin Enforcement Action, Further Clarifying U.S. Regulatory Landscape for Virtual Currencies
Client Newsletter
August 26, 2015 SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum
August 25, 2015 Investment Management Regulatory Update - August 2015
Client Newsletter
June 24, 2015 SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement
Client Memorandum
June 1, 2015 SEC Re-Proposes Rules on Arranging, Negotiating or Executing Security-Based Swaps in the United States
Client Newsletter
December 17, 2014 Swaps Pushout Provision Amended: Pushout Requirement in Section 716 Now Limited to Certain ABS Swaps
Client Memorandum
October 15, 2014 CFTC Re-Proposes Uncleared Swap Margin Rules
Client Memorandum
September 15, 2014 Regulators Re-Propose Uncleared Swap Margin, Capital and Segregation Rules for Swap Entities
Client Memorandum
August 5, 2014 SEC Adopts Money Market Fund Reforms
Client Memorandum
July 3, 2014 SEC Adopts Security-Based Swap Cross-Border Definitional Rule
Client Memorandum
June 18, 2014 Volcker Rule: Observations on Interagency FAQs, OCC Interim Examination Guidelines
Client Memorandum
May 16, 2014 SEC Proposes Recordkeeping, Reporting and Notification Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum
January 7, 2014 CFTC Issues Cross-Border Substituted Compliance Determinations, Provides Limited Phase In for Some Swap Requirements
Client Memorandum
December 23, 2013 Volcker Rule Final Regulations: Proprietary Trading Flowcharts
Client Memorandum
December 22, 2013 CFTC Announces Cross-Border Substituted Compliance Determinations, Provides Limited Phase-In for Some Swap Requirements
Client Newsflash
November 18, 2013 CFTC Re-Proposes Position Limits for 28 Physical Commodity Futures, Options and Swaps and Revised Aggregation Standards
Client Memorandum
September 18, 2013 Basel Committee and IOSCO Release Final Policy Framework for Uncleared Derivatives Margin
Client Memorandum
September 9, 2013 CFTC Adopts Final Harmonization Rules for Commodity Pool Operators
Client Memorandum
July 29, 2013 CFTC Finalizes Cross-Border Swaps Guidance and Establishes Compliance Schedule
June 11, 2013 SEC Proposes Amendments to Money Market Fund Rules
Client Memorandum
June 6, 2013 Swaps Pushout Rule: Federal Reserve Clarifies Treatment of U.S. Branches of Foreign Banks
Client Memorandum
June 5, 2013 CFTC Finalizes SEF Rules and Adopts Minimum Block Trade Sizes
Client Memorandum
June 5, 2013 CFTC Provides Clearing Relief for Treasury Affiliates of Commercial Swap Counterparties
Client Newsflash
May 16, 2013 SEC Proposes Cross-Border Security-Based Swap Rules
Client Memorandum
April 15, 2013 CFTC Provides Inter-affiliate Swap Clearing and Reporting Relief
Client Memorandum
March 11, 2013 An Asset Manager’s Guide to Swap Trading in the New Regulatory World
Client Memorandum
February 25, 2013 Basel Committee and IOSCO Release Second Consultative Paper on Uncleared Derivatives Margin
Client Memorandum
December 27, 2012 CFTC Issues Final Cross-Border Swap Exemptive Order
Client memorandum
November 5, 2012 SEC Proposes Capital, Margin, and Segregation Rules for Security-Based Swap Dealers
Client Memorandum
October 13, 2012 CFTC Clarifies Temporary Application of Swap Regulations and Delays Some Swap-Related Requirements
Client Newsflash
September 12, 2012 CFTC Clarifies Swap Dealer Registration Timing
Client Memorandum
August 20, 2012 CFTC Proposes Clearing Exemption for Inter-Affiliate Swaps
Client Newsflash
July 19, 2012 CFTC Addresses Compliance Dates for CPO/CTA Registration; Swap Definitions Finalized; CFTC Provides Cross-Border Guidance
Client Newsflash
July 17, 2012 Key Dodd-Frank Derivatives Issues for End Users
Client Memorandum
July 11, 2012 SEC and CFTC Finalize Swap Product Definitions: the Title VII Swap Countdown Begins
Client Newsflash
May 23, 2012 FSOC Proposes Hearing Procedures for Systemic Designations of Nonbank Financial Companies and Financial Market
Client Newsflash
May 22, 2012 CFTC Proposes Exemptions from Aggregation under Its Position Limits Rule
Client Memorandum

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