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.
December 12, 2019 NYSE Files Revised Direct Listing Proposal
Client Newsflash
November 26, 2019 NYSE Direct Listing Proposal
Client Newsflash
October 30, 2019 SEC Adopts New ETF Rule
Client Memorandum
October 29, 2019 Cryptocurrency and Other Digital Assets for Asset Managers

Global Legal Insights - Blockchain & Cryptocurrency Regulation 2020, 2nd Ed.

October 8, 2019 U.S. Prudential Regulators Expected to Propose Amendments to Swap Margin Rule
Client Memorandum
September 27, 2019 SEC Expands "Testing the Waters" Communications
Client Memorandum
September 24, 2019 Proposed Cannabis Legislation: Three Different Paths Before Congress
Client Memorandum
September 18, 2019 SEC Issues Guidance Regarding Proxy Voting Responsibilities of Investment Advisers
Client Memorandum
September 11, 2019 Volcker Rule 2019 Final Amendments: Summary and Proprietary Trading Flowcharts
Client Memorandum
July 12, 2019 Visual Memo: The SEC's Security-Based Swap Capital, Margin and Segregation Rules
Client Memorandum
June 26, 2019 U.S. and U.K. Regulators Focus on “Opportunistic Strategies” in Credit Default Swaps
Client Memorandum
June 21, 2019 Visual Memorandum: SEC Adopts Regulation Best Interest, Form CRS and Related Advisers Act Interpretations
Client Memorandum
May 7, 2019 Getting the Deal Through: Financial Services Compliance 2019

Law Business Research Ltd., April 2019

May 6, 2019 Digital and Digitized Assets: Federal and State Jurisdictional Issues

American Bar Association, March 2019

February 20, 2019 SEC Proposes Expansion of "Testing the Waters"
Client Memorandum
January 22, 2019 Five US market regulation forecasts for 2019

Financial Times

January 2, 2019 Update on the SEC Shutdown
Client Memorandum
August 21, 2018 SEC Adopts New Transparency Requirements for NMS Stock Alternative Trading Systems
Client Memorandum
August 8, 2018 Getting the Deal Through: Financial Services Compliance

Law Business Research Ltd., August 2018

June 19, 2018 FCA Publishes the Final Rules for the Premium Listing Segment for Sovereign-Controlled Commercial Companies
Client Memorandum
May 7, 2018 SEC Proposes Enhanced Standards for Advice to Retail Investors
Client Memorandum
January 23, 2018 Six US Market Regulation Predictions for 2018

Financial Times, January 19, 2018

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
May 15, 2017 CFTC’s Project KISS Gets Underway: Giancarlo Makes the First Move
Client Memorandum
April 27, 2017 FINRA Proposes Desk Commentary Safe Harbor
Client Memorandum
March 24, 2017 SEC Approves Move to T+2 Standard Settlement Cycle in September 2017
Client Memorandum
March 1, 2017 DOL Proposes 60-Day Delay of Applicability of Fiduciary Rule
Client Memorandum
December 20, 2016 SEC Approves Consolidated Audit Trail Plan
Client Memorandum
November 11, 2016 FINRA's Approval Requirement: Considerations for Non-US Acquirers of US Broker-Dealers

International Finanancial Law Review, November 2016

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
July 29, 2016 SEC Proposes New and Enhanced Order Handling Disclosure Requirements
Client Memorandum
July 27, 2016 FINRA Proposes Reporting Requirements for Treasury Securities
Client Memorandum
June 24, 2016 Legal Implications of Brexit
Client Memorandum
June 2, 2016 Governance Practices for IPO Companies: A Davis Polk Survey
Client Memorandum
May 25, 2016 Federal Reserve's Proposed Rule on QFCs with U.S. G-SIBs and the U.S. Operations of Foreign G-SIBs
Client Memorandum
May 24, 2016 SEC Adopts Business Conduct Rules for Security-Based Swap Dealers
Client Memorandum
May 2, 2016 Incentive Compensation for Financial Institutions: Reproposal
Client Memorandum
March 9, 2016 CFPB Brings First Ever Data Security Enforcement Action: Review and Analysis
Client Memorandum
March 2, 2016 FDIC and SEC Propose Rules to Implement the Provisions for Covered Broker-Dealers under Title II of Dodd-Frank
Client Memorandum
November 6, 2015 CFTC’s Clearinghouse Exemptive Regime
International Financial Law Review
September 30, 2015 CFTC Modifies Proposed Aggregation Standards for Owned Entities under its Position Limit Rules
Client Memorandum
August 27, 2015 New FINRA Equity and Debt Research Rules
Client Memorandum
August 17, 2015 Foreign Bank Cross-Border Trading under the Volcker Rule: the “Trading Outside the United States” Exemption’s Incongruous Consequences
Columbia Law School’s Blue Sky Blog
June 24, 2015 SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement
Client Memorandum
March 30, 2015 SEC Adopts Final Regulation A+ Rules
Client Memorandum
March 24, 2015 Implications of the SEC’s Plans to Amend Rule 15b9-1
Traders Magazine
January 20, 2015 Impacts and Implications of the CFTC’s Emerging Clearinghouse Exemptive Program
Traders Magazine
January 19, 2015 Placee Independence – Key Takeaways from the Latest SFC Disciplinary Actions
Client Memorandum
January 5, 2015 Regulatory Predictions for 2015
Financial Times

Pages

Insights Search: