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.
June 24, 2013 OCC Lending Limits Final Rule: Credit Exposures from Derivatives and Securities Financing Transactions
Client Memorandum
June 11, 2013 SEC Proposes Amendments to Money Market Fund Rules
Client Memorandum
June 6, 2013 Swaps Pushout Rule: Federal Reserve Clarifies Treatment of U.S. Branches of Foreign Banks
Client Memorandum
June 5, 2013 CFTC Provides Clearing Relief for Treasury Affiliates of Commercial Swap Counterparties
Client Newsflash
June 5, 2013 CFTC Finalizes SEF Rules and Adopts Minimum Block Trade Sizes
Client Memorandum
June 3, 2013 Dodd-Frank Progress Report
May 16, 2013 SEC Proposes Cross-Border Security-Based Swap Rules
Client Memorandum
May 14, 2013 Too Big to Fail: The Path to a Solution
A Report of the Failure Resolution Task Force of the Financial Regulatory Reform Initiative of the Bipartisan Policy Center
May 2, 2013 FINRA Releases Additional Guidance Regarding the Use of Pre-Inception Index Performance in Institutional Communications
Client Newsflash
May 1, 2013 Dodd-Frank Progress Report
Client Newsletter
April 30, 2013 Brown-Vitter Bill
Commentary and Analysis
April 30, 2013 International Organization of Securities Commissions Releases Consultation Report on Regulation of Retail Structured Products
Client Newsflash
April 23, 2013 Recent European Compensation Developments: Financial Institutions and Beyond
Client Memorandum
April 15, 2013 Resolution Planning in the United States

Randall D. Guynn, Resolution Planning in the United States, in The Bank Recovery and Resolution Directive: Europe's Solution for "Too Big to Fail?" 109-163 (Andreas Dombret, Patrick S. Kenadjian, editors, 2013).

April 15, 2013 CFTC Provides Inter-affiliate Swap Clearing and Reporting Relief
Client Memorandum
April 15, 2013 Southern District of New York Dismisses Insider Preference Claims Against Affiliates of Goldman Sachs
Client Memorandum
April 4, 2013 SEC Explains How to Use Social Media for Regulation FD Compliance
Client Memorandum
April 1, 2013 Dodd-Frank Progress Report
Client Newsletter
March 27, 2013 Guidance on Rule 15a-6 and Foreign Broker-Dealers
Client Newsflash
March 11, 2013 An Asset Manager’s Guide to Swap Trading in the New Regulatory World
Client Memorandum
March 5, 2013 U.S. Supreme Court Confirms that Limitations Period for Certain Federal Enforcement Actions Begins When Fraud Occurs; Application In FCPA Matters Remains Unclear
Client Memorandum
March 1, 2013 Dodd-Frank Progress Report
March 1, 2013 Swap Reporting: Who and When?
Futures Industry
February 25, 2013 Basel Committee and IOSCO Release Second Consultative Paper on Uncleared Derivatives Margin
Client Memorandum
February 15, 2013 FDIC Proposal on Foreign Branch Deposits: Dual Payability, Depositor Preference and Deposit Insurance
Client Memorandum
February 13, 2013 Strategic Growth Bancorp’s Acquisition and Recapitalization of Mile High Banks in a Section 363 Sale
Client Memorandum
February 1, 2013 Dodd-Frank Progress Report
January 28, 2013 Implications for the CFPB After the D.C. Circuit’s Recess Appointments Decision
Client Memorandum
January 23, 2013 FINRA Issues Voluntary Interim Form for Crowdfunding Portals
Client Memorandum
January 17, 2013 Basel Committee Revises Basel III Liquidity Coverage Ratio
Client Memorandum
January 14, 2013 U.S. Basel III Proposals: Infographic
BankDirector.com
January 7, 2013 Swaps Pushout Rule: OCC Prepared to Grant Two-Year Transition Period to Federal Insured Depository Institutions
Client Memorandum
January 3, 2013 Comment: 13 Regulatory Reform Predictions for ’13
January 3, 2013 SEC Adopts New Obligations for Broker-Dealers Regarding Lost Securityholders and Unresponsive Payees
Client Memorandum
January 2, 2013 Dodd-Frank Progress Report
Client Newsletter
December 27, 2012 CFTC Issues Final Cross-Border Swap Exemptive Order
Client memorandum
December 17, 2012 Visuals: Dodd-Frank Proposal for Foreign Banking Organizations
December 17, 2012 Dodd-Frank Enhanced Prudential Standards for Foreign Banking Organizations – Summary with Visuals
Client Memorandum
December 5, 2012 SEC Issues Guidance on New Iran Disclosure Requirements
Client Newsflash
December 3, 2012 Dodd-Frank Progress Report
December 2, 2012 Governor Tarullo Foreshadows Proposal to Ring-Fence Large U.S. Operations of Foreign Banks
Client Memorandum
November 19, 2012 Treasury Issues FX Swap and FX Forward Exemption
Client Newsflash
November 14, 2012 2013 CCAR Process Begins and U.S. Basel III Rules Are Delayed
Client Memorandum
November 5, 2012 SEC Proposes Capital, Margin, and Segregation Rules for Security-Based Swap Dealers
Client Memorandum
October 13, 2012 CFTC Clarifies Temporary Application of Swap Regulations and Delays Some Swap-Related Requirements
Client Newsflash
October 1, 2012 Securities Offerings During Blackout Periods and Following a Quarter-End: What You Need to Know
Client Memorandum
September 12, 2012 United States Enacts Further Sanctions on Iran and Syria: the Iran Threat Reduction and Syria Human Rights Act of 2012
Client Memorandum
September 12, 2012 CFTC Clarifies Swap Dealer Registration Timing
Client Memorandum
August 24, 2012 NFA Proposes to Amend Rules to Impose New Swaps Registration Requirement on FCMs, IBs, CPOs and CTAs
Client Newsflash
August 20, 2012 CFTC Proposes Clearing Exemption for Inter-Affiliate Swaps
Client Newsflash

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