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 9, 2008 SEC Proposes to Liberalize Exchange Act Rule 15a-6 Concerning U.S. Activities of Non-U.S. Broker-Dealers
Client Memorandum
June 24, 2008 SEC Proposes New Rating Agency Rules
Client Memorandum
June 13, 2008 Court Requires Activist Hedge Funds to Disclose Swaps in CSX
Client Newsflash
June 9, 2008 FINRA Proposes Amendments to Supervision Rules
Client Memorandum
May 23, 2008 FINRA Updates Options Rules, Requiring Firms to Modify Compliance and Supervisory Policies and Procedures
Client Memorandum
April 30, 2008 FINSA Proposed Regulations
Client Memorandum
March 31, 2008 Paulson Proposes Financial Regulatory Overhaul
Client Memorandum
March 24, 2008 Proposed Amendments to Regulation S-P Imposing New Compliance Burdens on Registered Broker-Dealers and Other SEC-Regulated Entities
Client Memorandum
March 21, 2008 FinCEN Clarifies the Obligations of Clearing Firms Under the Customer Identification Program Rule
Client Newsflash
March 5, 2008 SEC Proposes New Antifraud Rule to Combat "Abusive" Naked Short Selling
Client Newsflash
January 2, 2008 Delaware Court Upholds Cerberus's Right To Walk Away From URI, While Tennessee Court Orders Finish Line to Complete Acquisition of Genesco
Client Newsflash
January 1, 2000 Sector Specific vs. Unified Regulation: Contrasts in Regulation
Trading the Future (The Futures and Options Association, 2000)
October 1, 1999 Mutual Funds and Derivatives: Defining the Regulatory Boundaries
Futures and Derivatives Law Report, October 1999 and November 1999
August 1, 1999 Hedge Fund Scrutiny Continues
Futures Industry Magazine
January 1, 1999 Commodity Pools
Financial Product Fundamentals
PLI 1999
January 1, 1999 Offshore Commodity Funds: Leveraged Growth
The Chancellor Offshore Funds Manual
January 1, 1997 Banking and Technology
University of North Carolina Law School Banking Law Institute, Volume 1, page 37
January 1, 1997 Hedge Funds in the 1990's: Private Risk Taking; Public Consequences?
The Financial Services Revolution: Understanding the Changing Roles of Banks, Mutual Funds and Insurance Companies
Irwin, 1997
October 1, 1996 Article 2 of the UCC and Futures Contracts
Nineteenth Annual Commodities Law Institute and Fifth Annual Financial Services Law Institute
Chicago-Kent College of Law
March 1, 1996 The Perils of Success: Public Polilcy Issues Presented by Hedge Funds
16 Futures and Derivatives Law Report
February 1, 1996 Modernizing Securities Ownership, Transfer and Pledging Laws
Capital Markets Forum, International Bar Association
January 1, 1995 Commodity Trading Advisor Regulation
ALIABA Course of Study Materials
Investment Adviser Regulation
January 1, 1989 The Regulation of Hybrid Products and Other Off Exchange Instruments Under the Commodity Exchange Act
ALIABA Course of Study Materials, Broker Dealer Regulation


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