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 20, 2020 U.S. Prudential Regulators Finalize Amendments to Swap Margin Rule
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
October 8, 2019 U.S. Prudential Regulators Expected to Propose Amendments to Swap Margin Rule
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
August 21, 2018 SEC Adopts New Transparency Requirements for NMS Stock Alternative Trading Systems
Client Memorandum
May 7, 2018 SEC Proposes Enhanced Standards for Advice to Retail Investors
Client Memorandum
August 10, 2017 D.C. Circuit Raises the Bar on SEC Review of SRO Rule Filings—May Further Slow Pace of Agency Actions
Client Memorandum
April 27, 2017 FINRA Proposes Desk Commentary Safe Harbor
Client Memorandum
December 20, 2016 SEC Approves Consolidated Audit Trail Plan
Client Memorandum
October 13, 2016 New York State Department of Financial Services Proposes New Cybersecurity Regulations
Client Memorandum
September 13, 2016 FINRA Establishes New Limited Registration Regime for “Capital Acquisition Brokers,” Including Private Fund Placement Agents
Client Memorandum
August 22, 2016 SEC Adopts Amendments to Regulation SBSR
Client Memorandum
March 22, 2016 Visual Memo: Single-Counterparty Credit Limits Proposed Rule
Client Memorandum
August 27, 2015 New FINRA Equity and Debt Research Rules
Client Memorandum
December 11, 2014 FINRA Proposes to Amend Existing Equity Research Rules and Establish New Debt Research Rule
Client Memorandum
Insights Search: