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.
October 22, 2020 SEC and CFTC Enforcement Update
Client Newsletter
October 16, 2020 SEC Proposes to Exempt Certain “Finders” from Broker-Dealer Registration Requirements
Client Memorandum
September 29, 2020 SEC No-Action Letter Facilitates Secondary Market Trading of Digital Asset Securities
Client Memorandum
July 20, 2020 U.S. Prudential Regulators Finalize Amendments to Swap Margin Rule
Client Memorandum
June 23, 2020 Supreme Court Preserves SEC's Disgorgement Authority, But with Limits
Client Memorandum
May 11, 2020 SEC Orders SROs to Implement Changes to NMS Plan Governance
Client Memorandum
April 2, 2020 SEC Proposes Changes to Market Data Infrastructure
Client Memorandum
March 27, 2020 CFTC Adopts Final Interpretation on the Actual Delivery Exception for Leveraged Retail Virtual Currency Transactions
Client Memorandum
March 25, 2020 How the SEC Enforcement Division Responds to a Crisis
Client Memorandum
March 17, 2020 CFTC Issues COVID-19 Related Relief for Futures and Swap Market Participants
Client Memorandum
March 16, 2020 Republication: The 2009 Davis Polk Financial Crisis Manual
Client Memorandum
March 9, 2020 CFTC Proposes to Codify No-Action Relief for Swap Execution Facilities
Client Memorandum
February 20, 2020 Visual Memo: CFTC Proposes Amendments to Cross-Border Rules
Client Memorandum
January 30, 2020 SEC Office of Compliance Inspections and Examinations (OCIE) Issues Observations on Cybersecurity and Resiliency Practices
Client Memorandum
January 22, 2020 CFTC Staff Clarifies Guidance Regarding CCO Annual Reports
Client Memorandum
January 21, 2020 House Passes 8-K Trading Gap Act
Client Memorandum
January 16, 2020 Encouraging Innovation: Brokered Deposits—What Fintechs Need to Know to Partner with Banks under the FDIC’s Proposed Regulations
Client Memorandum
January 15, 2020 FSOC Shift to an Activities-Based Approach Signals an Emphasis on the Risks to Financial Stability from Digital Transformation
Client Memorandum
January 8, 2020 The Last Piece of the Puzzle: CFTC Reopens Comment Period for Capital Requirements and Proposes Amendments to Inter-Affiliate Swap Clearing Exemption
Client Memorandum
January 6, 2020 Davis Polk Financial Services Regulatory Reform Tool—2020 Vision Edition
Client Memorandum
December 18, 2019 CFTC Staff Issues Guidance Regarding CCO Annual Reports
Client Memorandum
December 10, 2019 Human Capital and Climate Risk Disclosure – Analysis of 2019 Mandatory and Voluntary Reporting
Client Memorandum
November 14, 2019 SEC Describes Active Enforcement Program and Focus on Corporate Conduct in 2019 Annual Report
Client Memorandum
November 4, 2019 Supreme Court to Review SEC’s Authority to Seek Disgorgement
Client Memorandum
October 8, 2019 U.S. Prudential Regulators Expected to Propose Amendments to Swap Margin Rule
Client Memorandum
September 11, 2019 Volcker Rule 2019 Final Amendments: Summary and Proprietary Trading Flowcharts
Client Memorandum
September 5, 2019 Davis Polk Financial Services Regulatory Reform Tool – Fall Focus Edition
Client Memorandum
July 18, 2019 Chairman Jay Clayton Announces Change in SEC Waiver Process
Client Memorandum
July 12, 2019 SEC and FINRA Staffs Highlight Broker-Dealer Regulatory Challenges Raised by Digital Assets—And Hint at Solutions
Client Memorandum
July 12, 2019 Visual Memo: The SEC's Security-Based Swap Capital, Margin and Segregation Rules
Client Memorandum
June 26, 2019 SCOTUS Expands Scope of FOIA Trade Secrets and Commercial Information Exemption
Client Memorandum
June 26, 2019 Rep. Waters Proposes Changes to SEC "Bad Actor" Waiver Process
Client Memorandum
June 21, 2019 Visual Memorandum: SEC Adopts Regulation Best Interest, Form CRS and Related Advisers Act Interpretations
Client Memorandum
June 3, 2019 Davis Polk Financial Services Regulatory Reform Tool–Summer Spotlight Edition
Client Memorandum
April 15, 2019 Blockchain Technology — Acquisitions & Joint Ventures
Client Memorandum
March 1, 2019 Davis Polk Financial Services Regulatory Reform Tool–New Congress Edition
Client Memorandum
November 19, 2018 Davis Polk Financial Services Regulatory Reform Tool — Post Midterm Election Edition
Client Memorandum
November 6, 2018 Federal Reserve Finalizes New Supervisory Ratings System for Large Financial Institutions
Client Memorandum
September 17, 2018 Davis Polk Financial Services Regulatory Reform Tool — Fall Focus Edition
Client Memorandum
August 21, 2018 SEC Adopts New Transparency Requirements for NMS Stock Alternative Trading Systems
Client Memorandum
July 5, 2018 CFTC Proposes Maintaining Swap Dealer De Minimis Registration Threshold at $8 Billion with Expanded Exceptions
Client Memorandum
July 5, 2018 Davis Polk Financial Services Regulatory Reform Tool — Summer Beach Read Edition
Client Memorandum
June 25, 2018 Supreme Court Holds that SEC Administrative Law Judges Have Been Unconstitutionally Appointed in Decision that is Likely to Have Far-Reaching Impact
Client Memorandum
June 18, 2018 Proposed Amendments to the Volcker Rule Regulations
Client Memorandum
June 18, 2018 The Federal Reserve’s Proposed Governance Guidance for Boards and Management and Proposed Large Financial Institution Rating System
Client Memoranda
May 22, 2018 Bipartisan Banking Act Will Rebalance the Financial Regulatory Landscape
Client Memorandum
May 7, 2018 SEC Proposes Enhanced Standards for Advice to Retail Investors
Client Memorandum
November 6, 2017 SEC Issues Three No-Action Letters to Facilitate Cross-Border Implementation of MiFID II's Research Provisions
Client Memorandum
November 2, 2017 FINRA Establishes New Registration and Qualification Requirements
Client Memorandum
August 21, 2017 U.S. Banking Agencies Clarify Capital Treatment of Cleared Derivatives with Settled-to-Market Variation Margin
Client Memorandum

Pages

Insights Search: