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 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 3, 2012 Dodd-Frank Progress Report
Client Newsletter
December 1, 2011 Dodd-Frank Progress Report
November 1, 2011 Dodd-Frank Progress Report
October 27, 2011 SEC Approves Private Fund Systemic Risk Reporting
Client Newsflash
October 3, 2011 Dodd-Frank Progress Report
September 6, 2011 Dodd-Frank Progress Report
August 22, 2011 FINRA Files Amended Communications Rules – Impact on Broker-Dealers
Client Newsflash
August 22, 2011 FINRA Files Amended Communications Rules – Impact on Structured Products
Client Memorandum
July 22, 2011 One-Year Anniversary Dodd-Frank Progress Report
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 18, 2011 SEC Proposal Would Replace Regulation M Exemption for Investment Grade Securities
Client Memorandum
May 17, 2011 60 Days - Over 175 New Derivatives Provisions
Client Memorandum
May 2, 2011 Treasury Proposes FX Swap and Forward Exemption
Client Memorandum
April 4, 2011 Davis Polk Dodd-Frank Rulemaking Progress Report
Progress as of March 31, 2011
March 18, 2011 SEC Proposal Clarifies No Change to “Beneficial Ownership” Rules for Swaps
Client Newsflash
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 22, 2010 CFTC Considers Protections for Swap Collateral
Client Newsflash
November 12, 2010 CFTC Proposes Swap Dealer and Major Swap Participant Rules
Client Newsflash
October 15, 2010 SEC and CFTC Adopt Interim Final Rules on Reporting and Recordkeeping for Pre-Dodd-Frank Swaps
Client Newsflash
March 8, 2010 The SEC’s New Short Sale Rule: Implications and Ambiguities
Client Memorandum
February 25, 2010 Recent Second Circuit Decision Underscores Importance of Careful Consideration of Indenture Terms
Client Newsflash
February 24, 2010 SEC Approves New Short Sale Price Test
Client Newsflash
January 28, 2010 SEC Proposes Amendments to Rule 10b-18 Safe Harbor for Issuer Repurchases
Client Memorandum
January 13, 2010 SEC Issues No-Action Letter Permitting Reliance Upon Section 3(a)(9) in Exchanges of Securities with Upstream Guarantees
Client Newsflash
October 29, 2009 Competing Over-the-Counter Derivatives Bills Progress Through the House
Client Memorandum
October 20, 2009 SEC and CFTC Release Joint Report on Harmonization of Regulation
Client Newsflash
October 6, 2009 Representative Frank Releases Discussion Draft for Over-the-Counter Derivatives Reform
Client Memorandum
September 29, 2009 Insolvency and Restructuring Update
In re Lehman Brothers Holdings, Inc.
August 17, 2009 Obama Administration Proposes Sweeping Legislation to Regulate Over-The-Counter Derivatives
Client Newsflash
July 29, 2009 SEC Charges Perry Capital with Disclosure Violations in Connection with Alleged Vote Buying
Client Newsflash
July 28, 2009 Short Sales: SEC Adopts Final Rule 204, Allows Rule 10a-3T (Form SH) to Expire and Announces Other Short Sale Initiatives
Client Newsflash
July 20, 2009 Update on the Derivatives Provisions in the American Clean Energy and Security Act of 2009
Client Memorandum
July 15, 2009 Zacharias v. SEC: D.C. Circuit Affirms SEC’s Finding of Section 5 Violations
Client Memorandum
June 3, 2009 The National Conference Insurance Legislators' Model CDS Bill
Client Memorandum
June 1, 2009 Derivatives Provisions in the American Clean Energy and Security Act of 2009
Client Memorandum
May 14, 2009 Obama Administration Proposes Regulatory Reform for OTC Derivatives
Client Newsflash
May 13, 2009 The Authorizing the Regulation of Swaps Act
Client Memorandum
May 4, 2009 Short Sale Proposals: Key Questions
Client Memorandum
April 16, 2009 Proposed Short Sale Restrictions: Implications for Equity Derivatives and Equity-Linked Securities
Client Memorandum
April 8, 2009 Proposed Short Sale Restrictions
Client Newsflash
February 24, 2009 FDIC to Discuss Guaranteeing Mandatory Convertible Debt Under the Temporary Liquidity Guarantee Program
Client Newsflash
February 4, 2009 SEC Publishes Final Rules and Proposes Additional Rules for Credit Rating Agencies
Client Newsflash
January 28, 2009 UK and US Financial Rescue Packages - A Survey
Client Memorandum
January 12, 2009 The Struggle Over the Second Half of TARP
Client Memorandum
December 4, 2008 SEC Approves Measures to Strengthen Oversight of Credit Rating Agencies
Client Newsflash

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