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.
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
February 17, 2016 Randall Guynn Participates in Federalist Society Podcast on SPOE
Podcast
January 22, 2016 U.S. Uncleared Swap Margin, Capital and Segregation Rules
Client Memorandum
January 22, 2016 Is B/D Desk Commentary Dead?
Compliance Reporter
January 20, 2016 Nation Building and Banks: The Importance of Financial Institutions
Maine Law Review, 2008
January 20, 2016 Too Big to Fail: Do We Need Special Rules for Bank Resolutions?
Institute for Law and Finance, Frankfurt, Germany, 2012
January 20, 2016 JCPOA Implementation Day Raises New Sanctions Challenges
Client Memorandum
January 20, 2016 Foreign Bank Acquisitions of U.S. Banks and Thrifts (Chapter 6, Co-Author)
Regulation of Foreign Banks and Affiliates in the United States (6th ed., 2011)
January 8, 2016 Regulatory Predictions for 2016
FT Trading Room
January 6, 2016 Hong Kong Corporate Finance Update
Client Newsletter
January 4, 2016 Dodd-Frank Progress Report: Fourth Quarter 2015
Client Newsletter
December 14, 2015 SEC Proposes New Transparency Requirements for NMS Stock Alternative Trading Systems
Client Memorandum
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

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