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 23, 2012 CFTC Adopts Final Rule on Protection of Cleared Swap Customer Collateral
Client Memorandum
January 18, 2012 CFTC Establishes Registration Process for Swap Dealers; Key Registration Requirements To Be Set Later
Client Memorandum
January 17, 2012 FINRA Communication Rules – Recent Developments Affecting Structured Notes
Client Newsflash
January 11, 2012 CFTC Adopts Rules Establishing Swap Reporting Regime
Client Memorandum
January 3, 2012 Dodd-Frank Progress Report
Client Newsletter
December 23, 2011 Summary of the Federal Reserve’s Proposed Rules for Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies
Client Memorandum
December 1, 2011 Dodd-Frank Progress Report
November 7, 2011 CFTC Adopts Final Position Limits for 28 Physical Commodity Futures, Options, and Swaps
Client Memorandum
November 1, 2011 Dodd-Frank Progress Report
October 18, 2011 SEC Proposes Rules on the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum
October 17, 2011 FSOC's Proposed Rules for SIFI Designations
Client Memorandum
October 13, 2011 Volcker Rule Proposed Regulations: Proprietary Trading Summary
Client Memorandum
October 12, 2011 Volcker Rule Proposed Regulations: Proprietary Trading Summary with Annexes
Client Memorandum
October 7, 2011 Leaked Volcker Release – Proprietary Trading
Client Memorandum
October 6, 2011 SEC Staff Alert Reveals Expansive Application of Market Access Rule
Client Newsflash
October 4, 2011 Tighter Circuit Breakers in Equities Markets
Client Newsflash
October 3, 2011 Dodd-Frank Progress Report
September 19, 2011 Credible Living Wills Under the U.S. Regulatory Framework
Client Memorandum
September 6, 2011 Dodd-Frank Progress Report
August 22, 2011 FINRA Files Amended Communications Rules – Impact on Broker-Dealers
Client Newsflash
August 1, 2011 SEC Adopts Large Trader Reporting Requirements
Client Memorandum
July 22, 2011 One-Year Anniversary Dodd-Frank Progress Report
July 21, 2011 SEC Proposes New Custody-Related Reporting and Audit Requirements for Broker-Dealers
Client Memorandum
July 1, 2011 Dodd-Frank Progress Report
June 22, 2011 SEC Approves New FINRA Rule Requiring the Qualification and Registration of Operations Professionals
Client Newsflash
June 17, 2011 CFTC and SEC Act to Defer Dodd-Frank Swaps Requirements
Client Memorandum
June 9, 2011 SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps
Client Newsflash
June 1, 2011 Dodd-Frank Rulemaking Progress Report
Progress as of June 1, 2011
May 17, 2011 60 Days - Over 175 New Derivatives Provisions
Client Memorandum
May 2, 2011 Dodd-Frank Rulemaking Progress Report
Progress as of May 1, 2011
May 2, 2011 Treasury Proposes FX Swap and Forward Exemption
Client Memorandum
April 26, 2011 Credible Living Wills: The First Generation
Client Memorandum

Whitepaper by Davis Polk & Wardwell LLP and McKinsey & Company

April 20, 2011 CFTC Releases Swap Margin Proposal
Client Memorandum
April 14, 2011 Regulators Propose Swap Margin and Capital Rules
Client Memorandum
April 12, 2011 FINRA Proposes Rule on the Use of Third-Party Service Providers
Client Newsflash
April 5, 2011 FDIC Releases Joint Notice of Proposed Rulemaking on Resolution Plans and Credit Exposure Reports
Client Memorandum
April 4, 2011 Davis Polk Dodd-Frank Rulemaking Progress Report
Progress as of March 31, 2011
March 31, 2011 Federal Agencies Finalize Proposed Interagency Rule on Incentive-Based Compensation for Financial Institutions
Client Newsflash
March 3, 2011 Federal Agencies Propose Interagency Rule on Incentive-Based Compensation for Financial Institutions
Client Memorandum
February 14, 2011 Summary of the Federal Reserve’s Final Regulations on the Conformance Period for the Volcker Rule
February 9, 2011 Summary of Federal Reserve Proposed Rule on Definitions Related to Nonbank Financial Companies and Interconnectedness of Systemically Important Firms
January 24, 2011 SEC Study on the Fiduciary Duty of Investment Advisers and Broker-Dealers
Client Memorandum
January 19, 2011 Working Summary of the Financial Stability Oversight Council’s January 18, 2011 Proposed Rules on Designation of Systemically Important Nonbank Financial Companies
Client Memorandum

Summary as of January 19, 2011

January 19, 2011 Summary of the Section 622 Study and Recommendations Regarding Concentration Limits on Large Financial Companies, Released by the Financial Stability Oversight Council on January 18, 2011
Summary as of January 19, 2011
January 19, 2011 Summary of the Volcker Rule Study – Proprietary Trading
Summary as of January 19, 2011
November 30, 2010 CFTC Proposes to Register and Regulate Swap Dealers and Major Swap Participants
Client Memorandum
November 22, 2010 CFTC and SEC Propose Swap Data Reporting Rules
Client Newsflash
November 12, 2010 CFTC Proposes Swap Dealer and Major Swap Participant Rules
Client Newsflash
November 5, 2010 SEC Limits Direct Market Access
Client Memorandum
November 3, 2010 MSRB Extends Application of Its Rules and Registration to Municipal Advisors
Client Newsflash

Pages

Insights Search: