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.
September 2, 2014 Dodd-Frank Progress Report
Client Newsletter
August 5, 2014 SEC Adopts Money Market Fund Reforms
Client Memorandum
July 18, 2014 Dodd-Frank Four-Year Anniversary Progress Report
Client Newsletter
July 3, 2014 SEC Adopts Security-Based Swap Cross-Border Definitional Rule
Client Memorandum
July 1, 2014 Dodd-Frank Progress Report
Client Newsletters
June 18, 2014 Volcker Rule: Observations on Interagency FAQs, OCC Interim Examination Guidelines
Client Memorandum
June 2, 2014 Dodd-Frank Progress Report
Client Newsletter
May 16, 2014 SEC Proposes Recordkeeping, Reporting and Notification Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum
May 1, 2014 Dodd-Frank Progress Report
Client Newsletter
March 3, 2014 Dodd-Frank Progress Report
Client Newsletter
February 12, 2014 M&A Brokers Receive No-Action Relief from Broker-Dealer Registration
Client Memorandum
February 3, 2014 Dodd-Frank Progress Report
Client Newsletter
January 8, 2014 SEC Approves New FINRA Supervision Rules
Client Memorandum
January 7, 2014 CFTC Issues Cross-Border Substituted Compliance Determinations, Provides Limited Phase In for Some Swap Requirements
Client Memorandum
January 5, 2014 Volcker Rule Final Regulations: Funds Flowcharts
Client Memorandum
January 2, 2014 Dodd-Frank Progress Report
Client Newsletter
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
December 2, 2013 Dodd-Frank Progress Report
Client Newsletter
November 18, 2013 CFTC Re-Proposes Position Limits for 28 Physical Commodity Futures, Options and Swaps and Revised Aggregation Standards
Client Memorandum
November 18, 2013 SEC Proposes Rules for Crowdfunding Intermediaries
Client Memorandum
November 1, 2013 Dodd-Frank Progress Report
Client Newsletter
October 22, 2013 FINRA Issues Report on Broker-Dealer Conflicts of Interest
Client Memorandum
October 8, 2013 FINRA Issues Notice To Members Discussing Examination Findings Regarding the Revised Suitability Requirements
Client Newsflash
October 7, 2013 SEC Releases Final Municipal Advisor Registration Rules Part II: Permanent Registration Process
Client Memorandum
October 3, 2013 SEC Issues FAQ Regarding Supervisory Responsibility for Legal and Compliance Personnel
Client Memorandum
October 2, 2013 SEC Releases Final Municipal Advisor Registration Rule Part I: Who is a Municipal Advisor?
Client Memorandum
October 1, 2013 Dodd-Frank Progress Report
September 18, 2013 Basel Committee and IOSCO Release Final Policy Framework for Uncleared Derivatives Margin
Client Memorandum
September 3, 2013 Dodd-Frank Progress Report
August 12, 2013 SEC Adopts Amendments to Broker-Dealer Financial Responsibility, Reporting and Audit Requirements
Client Memorandum
July 29, 2013 CFTC Finalizes Cross-Border Swaps Guidance and Establishes Compliance Schedule
July 18, 2013 Dodd-Frank Three-Year Anniversary Progress Report
July 1, 2013 Dodd-Frank Progress Report
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 Provides Clearing Relief for Treasury Affiliates of Commercial Swap Counterparties
Client Newsflash
June 5, 2013 CFTC Finalizes SEF Rules and Adopts Minimum Block Trade Sizes
Client Memorandum
June 3, 2013 Dodd-Frank Progress Report
May 16, 2013 SEC Proposes Cross-Border Security-Based Swap Rules
Client Memorandum
May 1, 2013 Dodd-Frank Progress Report
Client Newsletter
April 15, 2013 CFTC Provides Inter-affiliate Swap Clearing and Reporting Relief
Client Memorandum
April 1, 2013 Dodd-Frank Progress Report
Client Newsletter
March 27, 2013 Guidance on Rule 15a-6 and Foreign Broker-Dealers
Client Newsflash
March 11, 2013 An Asset Manager’s Guide to Swap Trading in the New Regulatory World
Client Memorandum
March 1, 2013 Dodd-Frank Progress Report
February 25, 2013 Basel Committee and IOSCO Release Second Consultative Paper on Uncleared Derivatives Margin
Client Memorandum
February 15, 2013 FINRA Requests Comment on Proposed Rules Governing Markups, Commissions and Fees
Client Memorandum
February 1, 2013 Dodd-Frank Progress Report
January 23, 2013 FINRA Issues Voluntary Interim Form for Crowdfunding Portals
Client Memorandum

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