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 12, 2019 Visual Memo: The SEC's Security-Based Swap Capital, Margin and Segregation Rules
Client Memorandum
June 21, 2019 Visual Memorandum: SEC Adopts Regulation Best Interest, Form CRS and Related Advisers Act Interpretations
Client Memorandum
May 2, 2019 Fed Panel Floats New Floater Fallback Language to Address Future Loss of LIBOR
Client Memorandum
February 20, 2019 SEC Proposes Expansion of "Testing the Waters"
Client Memorandum
May 3, 2018 LIBOR Fallbacks in Focus: A Lesson in Unintended Consequences

Oliver Wyman, May 2018

October 11, 2017 Review of Volcker Rule Comment Letters
Client Memorandum
May 8, 2017 Financial CHOICE Act 2.0 Passes House Financial Services Committee
Client Memorandum
March 1, 2017 DOL Proposes 60-Day Delay of Applicability of Fiduciary Rule
Client Memorandum
January 11, 2017 Federal Reserve’s Final Rule on TLAC, Eligible LTD and Clean Holding Company Requirements
Client Memorandum
November 17, 2016 The Trump Transition and Possible Directions for Financial Regulatory Reform
Client Memorandum
August 8, 2016 Getting the Deal Through: Equity Derivatives 2016

Law Business Research Ltd.

June 24, 2015 SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement
Client Memorandum
September 16, 2014 SEC Proposes to Exempt Certain Communications Involving Security-Based Swaps from Securities Act Registration
Client Memorandum
September 15, 2014 Regulators Re-Propose Uncleared Swap Margin, Capital and Segregation Rules for Swap Entities
Client Memorandum
December 23, 2013 Volcker Rule Final Regulations: Proprietary Trading Flowcharts
Client Memorandum
December 4, 2013 Nasdaq Proposes More Flexible Compensation Committee Independence Standards
Client Newsflash
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 7, 2013 Enhancing the Effectiveness of the UK Listing Regime – Feedback and Further Consultation
Client Memorandum
November 5, 2013 Prospectus Disclosure Regime in Europe
Client Memorandum
July 10, 2013 SEC Adopts Private Offering Reforms Mandated by JOBS Act
Client Newsflash
May 2, 2013 FINRA Releases Additional Guidance Regarding the Use of Pre-Inception Index Performance in Institutional Communications
Client Newsflash
April 30, 2013 International Organization of Securities Commissions Releases Consultation Report on Regulation of Retail Structured Products
Client Newsflash
January 2, 2013 Dodd-Frank Progress Report
Client Newsletter
December 27, 2012 CFTC Issues Final Cross-Border Swap Exemptive Order
Client memorandum
December 11, 2012 Guidance on FINRA’s Suitability Rule
Client Newsflash
November 19, 2012 Treasury Issues FX Swap and FX Forward Exemption
Client Newsflash
October 13, 2012 CFTC Clarifies Temporary Application of Swap Regulations and Delays Some Swap-Related Requirements
Client Newsflash
August 20, 2012 CFTC Proposes Clearing Exemption for Inter-Affiliate Swaps
Client Newsflash
July 3, 2012 CFTC Proposes Cross-Border Guidance and Exemptive Order
Client Newsflash
July 2, 2012 Dodd-Frank Progress Report
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 21, 2012 CFTC Chairman Gensler Previews Key Elements of Dodd-Frank Title VII Cross-Border Guidance
Client Newsflash
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 20, 2012 Volcker Rule Conformance Period Guidelines
Client Memorandum
April 18, 2012 SEC Approves Amendments to FINRA Communications Rules
Client Memorandum
April 5, 2012 CFTC Adopts Swap Clearing Documentation, Timing and Risk Management Rules
Client Memorandum
April 2, 2012 Dodd-Frank Progress Report
March 30, 2012 U.S. Supreme Court Holds that the Statute of Limitations for Section 16(b) Short-Swing Liability Claims Is Not Tolled
Client Newsflash
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
January 23, 2012 CFTC Adopts Final Rule on Protection of Cleared Swap Customer Collateral
Client Memorandum
January 20, 2012 New Regulations Address Withholding on “Dividend Equivalents”
Client Newsflash
January 18, 2012 CFTC Establishes Registration Process for Swap Dealers; Key Registration Requirements To Be Set Later
Client Memorandum

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