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 10, 2013 Approaching the Effective Date of the New FINRA Communications Rules
Client Memorandum
January 7, 2013 Swaps Pushout Rule: OCC Prepared to Grant Two-Year Transition Period to Federal Insured Depository Institutions
Client Memorandum
January 3, 2013 SEC Adopts New Obligations for Broker-Dealers Regarding Lost Securityholders and Unresponsive Payees
Client Memorandum
January 2, 2013 Dodd-Frank Progress Report
Client Newsletter
December 27, 2012 CFTC Issues Final Cross-Border Swap Exemptive Order
Client memorandum
December 3, 2012 Dodd-Frank Progress Report
November 19, 2012 Treasury Issues FX Swap and FX Forward Exemption
Client Newsflash
November 12, 2012 Impact of Dodd-Frank Derivatives Regulations on Latin American Financial Institutions
November 5, 2012 SEC Proposes Capital, Margin, and Segregation Rules for Security-Based Swap Dealers
Client Memorandum
November 1, 2012 Dodd-Frank Progress Report
Client Newsletter
October 13, 2012 CFTC Clarifies Temporary Application of Swap Regulations and Delays Some Swap-Related Requirements
Client Newsflash
October 9, 2012 OCIE Staff Report on Broker-Dealer Information Barrier Practices
Client Memorandum
October 1, 2012 Dodd-Frank Progress Report
Client Newsletter
September 12, 2012 CFTC Clarifies Swap Dealer Registration Timing
Client Memorandum
September 4, 2012 Dodd-Frank Progress Report
Client Newsletter
August 24, 2012 NFA Proposes to Amend Rules to Impose New Swaps Registration Requirement on FCMs, IBs, CPOs and CTAs
Client Newsflash
August 20, 2012 CFTC Proposes Clearing Exemption for Inter-Affiliate Swaps
Client Newsflash
July 30, 2012 CFTC Begins Implementation of Mandatory Clearing of Swaps
Client Newsflash
July 19, 2012 SEC Adopts Rule Requiring Consolidated Audit Trail
Client Memorandum
July 18, 2012 Dodd-Frank Two-Year Anniversary Progress Report
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
July 10, 2012 Basel Committee and IOSCO Release Consultation Paper on Uncleared Derivatives Margin; CFTC Reopens Comment Period on Uncleared Swap Margin Proposal
Client Newsflash
July 3, 2012 CFTC Proposes Cross-Border Guidance and Exemptive Order
Client Newsflash
July 2, 2012 Dodd-Frank Progress Report
June 12, 2012 U.S. Basel III Capital Proposed Rules and Market Risk Final Rule: Out with the Old, In with the New
Client Newsflash
June 6, 2012 SEC Approves “Limit Up-Limit Down” Plan and Tighter Circuit Breakers
Client Newsflash
June 5, 2012 CFTC Adopts Historical Swap Recordkeeping and Reporting Requirements
Client Memorandum
June 1, 2012 Dodd-Frank Progress Report
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
May 21, 2012 CFTC Chairman Gensler Previews Key Elements of Dodd-Frank Title VII Cross-Border Guidance
Client Newsflash
May 16, 2012 SEC Approves MSRB Interpretive Notice on Municipal Security Underwriters
Client Memorandum
May 8, 2012 SEC Reopens Comment Period for Proposed Amendments to Financial Responsibility Rules for Broker-Dealers
Client Memorandum
May 2, 2012 CFTC and SEC Adopt Final Swap Dealer, Major Swap Participant and Eligible Contract Participant Definitions
Client Memorandum
May 2, 2012 Major Swap Participant Analysis under Joint CFTC/SEC. Definitions Finalized on April 18, 2012
Slide Presentation
May 1, 2012 Dodd-Frank Progress Report
April 23, 2012 SEC Issues Exemptions from Large Trader Reporting Rule
Client Newsflash
April 20, 2012 Volcker Rule Conformance Period Guidelines
Client Memorandum
April 18, 2012 SEC Approves Amendments to FINRA Communications Rules
Client Memorandum
April 9, 2012 Federal Reserve Issues Supplemental Notice of Proposed Rulemaking on Requirements for Determining Whether Companies are Predominantly Engaged in Financial Activities
Client Memorandum
April 5, 2012 CFTC Adopts Swap Clearing Documentation, Timing and Risk Management Rules
Client Memorandum
April 4, 2012 FSOC Issues Final Rule on Designation of Systemically Important Nonbank Financial Companies
Client Memorandum
April 2, 2012 Dodd-Frank Progress Report
March 28, 2012 The JOBS Act: Implications for Broker-Dealers
Client Memorandum
March 12, 2012 CFTC Adopts Internal Business Conduct Rules for Swap Dealers and Major Swap Participants
Client Memorandum
March 7, 2012 CFTC and SEC Jointly Propose Identity Theft Rules
Client Memorandum
March 1, 2012 Dodd-Frank Progress Report
February 1, 2012 Dodd-Frank Progress Report
January 27, 2012 CFTC Adopts Business Conduct Rule for Swap Dealers
Client Memorandum

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