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 10, 2015 White Collar Update: Second Circuit Grants Jefferies Bond Trader New Trial, Reverses Others
Client Memorandum
December 9, 2015 Adding Insult to Injury: Regulatory Enforcement Following Broker-Dealer Operational Failures
Securities Markets
Insights, The Corporate & Securities Law Advisor, Vol. 29, No. 11, November 2015
December 3, 2015 Thinking About Indemnity Protections after the "Yates Memo"
Client Memorandum
November 19, 2015 European Regulatory Snapshot: FCA Consultation on Implementation of the Market Abuse Regulation
Client Memorandum
November 16, 2015 Annette Nazareth and Jeffrey Dinwoodie Participate in DerivSource Podcast on CFTC Clearinghouse Regulation
Podcast
November 12, 2015 U.S. Bank Regulators’ Uncleared Swap Margin, Capital and Segregation Rules
Client Memorandum
November 10, 2015 Federal Reserve’s Proposed Rule on TLAC and Eligible LTD
Client Memorandum
November 6, 2015 CFTC’s Clearinghouse Exemptive Regime
International Financial Law Review
November 3, 2015 The Perils of a Middle Road to Regulating Systemic Risk: The Volcker Rule’s Risk Backstop Provisions
The Georgetown Law Journal
November 2, 2015 Regulating Finance: Dodd-Frank Decoded
Interview | Talks on Law
October 28, 2015 Closing Your M&A Deal on a Weekend
Client Memorandum
October 1, 2015 Dodd-Frank Progress Report: Third Quarter 2015
Client Newsletter
September 30, 2015 CFTC Modifies Proposed Aggregation Standards for Owned Entities under its Position Limit Rules
Client Memorandum
September 28, 2015 CFTC Brings First Bitcoin Enforcement Action, Further Clarifying U.S. Regulatory Landscape for Virtual Currencies
Client Newsletter
September 24, 2015 Investment Management Regulatory Update - September 2015
Client Newsletter
September 16, 2015 FinCEN’s Proposed Rule to Require Investment Advisers to Establish AML Programs
Client Memorandum
September 15, 2015 Whistleblowers Who Report Alleged Wrongdoing Internally Are Entitled to Dodd-Frank’s Anti-Retaliation Protections
Client Memorandum
September 11, 2015 The Department of Justice Codifies Focus on Individuals in Corporate Cases
Client Memorandum
September 8, 2015 European Regulatory Snapshot: Remuneration in the Financial Services Industry 2015
Client Memorandum
August 27, 2015 New FINRA Equity and Debt Research Rules
Client Memorandum
August 26, 2015 SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum
August 25, 2015 Investment Management Regulatory Update - August 2015
Client Newsletter
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
August 11, 2015 Nuclear Deal with Iran Establishes Plan for Sanctions Relief
Client Memorandum
August 5, 2015 Insider Trading Update: Department of Justice Seeks Supreme Court Review of Second Circuit Case Deciding Reach of Insider Trading Law
Client Memorandum
July 29, 2015 The Role of Bankruptcy Reform in Addressing Too-Big-To-Fail

Subcommittee on Financial Institutions and Consumer Protection of the Senate Committee on Banking Housing, and Urban Affairs. July 29, 2015 (statement of Randall D. Guynn).

July 16, 2015 Dodd-Frank Turns Five
Client Newsletter
July 3, 2015 ESMA Assessment of Equivalence of Israeli Laws and Regulations on Prospectuses
Client Memorandum
June 24, 2015 SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement
Client Memorandum
June 23, 2015 Market Regulation: A Look Back, and a Look Forward
Podcast
June 12, 2015 Volcker Prop Trading Provisions: How Firms Are Preparing
compliancereporter.com, Vol. XXII, No. 12, June 15, 2015
June 12, 2015 How to Implement Payments to Unregistered Persons Rule
compliancereporter.com, Vol. XXII, No. 10, May 18, 2015
June 5, 2015 New York’s Final "BitLicense" Rule: Overview and Changes from the July 2014 Proposal
Client Memorandum
June 1, 2015 SEC Re-Proposes Rules on Arranging, Negotiating or Executing Security-Based Swaps in the United States
Client Newsletter
May 11, 2015 Department of Labor – Fiduciary Advice Definition and Conflict of Interest Rule
Client Memorandum
April 6, 2015 FINRA Issues Regulatory Notices on Algorithmic Trading Strategies
Client Memorandum
April 2, 2015 SEC Announces Enforcement Action Against Restrictive Language in Confidentiality Agreements
Client Memorandum
April 1, 2015 Dodd-Frank Progress Report: First Quarter 2015
Client Newsletter
March 24, 2015 Implications of the SEC’s Plans to Amend Rule 15b9-1
Traders Magazine
March 20, 2015 Structural Solutions: Blinded by Volcker, Vickers, Liikanen, Glass Steagall and Narrow Banking

Guynn, Randall D. and Kenadjian, Patrick, Too Big to Fail III: Structural Reform Proposals: Should we Break up the Banks? (De Gruyter, March 2015)

March 2, 2015 SEC Issues Reporting Rules for Security-Based Swaps
Client Memorandum
February 18, 2015 Proxy Access – a Decision Framework
Client Memorandum
January 27, 2015 SDNY Issues Novel Opinion Holding that Out-of-Court Restructurings May Violate Noteholder Rights Under the Trust Indenture Act
Client Memorandum
January 23, 2015 New Procedures for Shortened Debt Tender Offers; Relief Extended to High-Yield Debt
Client Memorandum
January 20, 2015 Impacts and Implications of the CFTC’s Emerging Clearinghouse Exemptive Program
Traders Magazine
January 9, 2015 UK Takeover Code – Post-Offer Statements and Miscellaneous Changes
Client Memorandum
January 6, 2015 CFTC Staff Issues CCO Annual Report Guidance and Related Deadline Extension
Client Memorandum
January 5, 2015 Regulatory Predictions for 2015
Financial Times
January 5, 2015 Dodd-Frank Progress Report
Client Newsletter
December 21, 2014 Delaware Supreme Court Reverses Preliminary Injunction Requiring Go-Shop; Reaffirms “No Single Blueprint” to Satisfy Revlon Duties
Client Memorandum

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