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.
November 18, 2013 CFTC Re-Proposes Position Limits for 28 Physical Commodity Futures, Options and Swaps and Revised Aggregation Standards
Client Memorandum
November 18, 2013 SEC Proposes Rules for Crowdfunding Intermediaries
Client Memorandum
November 1, 2013 The Cross-border Impact of the Dodd-Frank Act
A Practitioner’s Guide to the Regulation of Investment Banking, Third Edition, Oxford University Press, 2013
November 1, 2013 Dodd-Frank Progress Report
Client Newsletter
October 30, 2013 U.S. Basel III Liquidity Coverage Ratio Proposal: Visual Memorandum
Client Memorandum
October 22, 2013 FINRA Issues Report on Broker-Dealer Conflicts of Interest
Client Memorandum
October 8, 2013 FINRA Issues Notice To Members Discussing Examination Findings Regarding the Revised Suitability Requirements
Client Newsflash
October 7, 2013 SEC Releases Final Municipal Advisor Registration Rules Part II: Permanent Registration Process
Client Memorandum
October 3, 2013 SEC Issues FAQ Regarding Supervisory Responsibility for Legal and Compliance Personnel
Client Memorandum
October 2, 2013 SEC Releases Final Municipal Advisor Registration Rule Part I: Who is a Municipal Advisor?
Client Memorandum
October 1, 2013 Dodd-Frank Progress Report
September 18, 2013 Basel Committee and IOSCO Release Final Policy Framework for Uncleared Derivatives Margin
Client Memorandum
September 9, 2013 CFTC Adopts Final Harmonization Rules for Commodity Pool Operators
Client Memorandum
September 3, 2013 Dodd-Frank Progress Report
August 12, 2013 SEC Adopts Amendments to Broker-Dealer Financial Responsibility, Reporting and Audit Requirements
Client Memorandum
August 8, 2013 European Regulatory Snapshot: Remuneration in the Financial Services Industry
Client Memorandum
July 30, 2013 France Ring-Fences Proprietary Trading Activities
Client Memorandum
July 29, 2013 CFTC Finalizes Cross-Border Swaps Guidance and Establishes Compliance Schedule
July 23, 2013 France Implements Bail-In
Client Memorandum
July 19, 2013 Basel III Leverage Ratio: U.S. Proposes American Add-on; Basel Committee Proposes Important Denominator Changes
Client Memorandum
July 18, 2013 Dodd-Frank Three-Year Anniversary Progress Report
July 18, 2013 The U.S. Basel III Final Rule for Community, Regional and Foreign Banking Organizations
July 15, 2013 Swaps Pushout Rule: Federal Reserve Banks Revise Discount Window Documentation
Client Newsflash
July 11, 2013 U.S. Basel III: Interactive Risk Weights Tool
July 10, 2013 SEC Adopts Private Offering Reforms Mandated by JOBS Act
Client Newsflash
July 8, 2013 U.S. Basel III Final Rule: Visual Memorandum
Client Memorandum
July 1, 2013 Dodd-Frank Progress Report
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 Finalizes SEF Rules and Adopts Minimum Block Trade Sizes
Client Memorandum
June 5, 2013 CFTC Provides Clearing Relief for Treasury Affiliates of Commercial Swap Counterparties
Client Newsflash
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 International Organization of Securities Commissions Releases Consultation Report on Regulation of Retail Structured Products
Client Newsflash
April 30, 2013 Brown-Vitter Bill
Commentary and Analysis
April 23, 2013 Recent European Compensation Developments: Financial Institutions and Beyond
Client Memorandum
April 15, 2013 Southern District of New York Dismisses Insider Preference Claims Against Affiliates of Goldman Sachs
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 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 Swap Reporting: Who and When?
Futures Industry
March 1, 2013 Dodd-Frank Progress Report

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