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 28, 2011 FDIC's Second Notice of Proposed Rulemaking under the Orderly Liquidation Authority
Client Memorandum
March 3, 2011 Federal Agencies Propose Interagency Rule on Incentive-Based Compensation for Financial Institutions
Client Memorandum
February 14, 2011 Summary of the Federal Reserve’s Final Regulations on the Conformance Period for the Volcker Rule
February 9, 2011 Summary of Federal Reserve Proposed Rule on Definitions Related to Nonbank Financial Companies and Interconnectedness of Systemically Important Firms
January 25, 2011 Investing In or Acquiring Troubled Banks: The Problem of Holding Company Debt
Client Memorandum
January 24, 2011 SEC Study on the Fiduciary Duty of Investment Advisers and Broker-Dealers
Client Memorandum
January 20, 2011 Summary of the Volcker Rule Study – Hedge Funds and Private Equity Funds
Summary as of January 19, 2011
January 19, 2011 Summary of the Section 622 Study and Recommendations Regarding Concentration Limits on Large Financial Companies, Released by the Financial Stability Oversight Council on January 18, 2011
Summary as of January 19, 2011
January 19, 2011 Summary of the Volcker Rule Study – Proprietary Trading
Summary as of January 19, 2011
January 19, 2011 Working Summary of the Financial Stability Oversight Council’s January 18, 2011 Proposed Rules on Designation of Systemically Important Nonbank Financial Companies
Client Memorandum

Summary as of January 19, 2011

January 3, 2011 An Overview of Clearance and Settlement of Securities Transactions
Compliance Corner
Investment Adviser Association, No. 217, p. 12
November 30, 2010 CFTC Proposes to Register and Regulate Swap Dealers and Major Swap Participants
Client Memorandum
November 24, 2010 SEC Proposes Rules Implementing New Exemptions from Advisers Act Registration Under the Dodd-Frank Act
Client Memorandum
November 24, 2010 SEC Issues Proposal Implementing Advisers Act Registration and Reporting Amendments Under the Dodd-Frank Act
Client Memorandum
November 23, 2010 Delaware Supreme Court Invalidates Airgas Bylaw Amendment
Client Newsflash
November 22, 2010 CFTC and SEC Propose Swap Data Reporting Rules
Client Newsflash
November 22, 2010 CFTC Considers Protections for Swap Collateral
Client Newsflash
November 12, 2010 CFTC Proposes Swap Dealer and Major Swap Participant Rules
Client Newsflash
November 3, 2010 MSRB Extends Application of Its Rules and Registration to Municipal Advisors
Client Newsflash
October 15, 2010 SEC and CFTC Adopt Interim Final Rules on Reporting and Recordkeeping for Pre-Dodd-Frank Swaps
Client Newsflash
October 13, 2010 The Report on the Financial Panic of 2008 and Financial Regulatory Reform
Task Force on the Financial Crisis of the International Bar Association
October 1, 2010 Enhancing Financial Stability and Resilience: Macroprudential Policy, Tools and Systems for the Future
Group of Thirty
September 20, 2010 SEC Shines a Spotlight on Short-Term Borrowings: Issues Guidance and Proposes New Disclosure Requirements
Client Memorandum
September 16, 2010 Impact of the Dodd-Frank Act on Private Equity Funds, Hedge Funds and Their Investment Advisers
Private Equity Newsletter
September 14, 2010 Treasury Department Issues Iranian Financial Sanctions Regulations
Client Memorandum
September 13, 2010 Agreement on Quantification and Timing of Basel III Minimum Capital Requirements
Client Memorandum
September 3, 2010 SEC Adopts Rule Providing for Temporary Registration of Municipal Advisors
Client Newsflash
September 1, 2010 L'arret Morrison reaffirme la presomption de non-extraterritorialite du droit boursier american
JOLY editions
August 30, 2010 Board Diversity and Director Qualifications
Director Notes: The 2010 Proxy Season
The Conference Board
August 30, 2010 Implications of Orderly Liquidation Authority -- WSJ Video Interview
Client Newsflash
July 26, 2010 SEC Proposes New Regulatory Scheme for 12b-1 Mutual Fund Fees
Client Newsflash
July 23, 2010 Exploring the Volcker Rule’s Effect on Banks: WSJ Video Interview
Client Newsflash
July 21, 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act: Preliminary Assessment of Provisions Effective Immediately or Very Soon After Enactment
Client Memorandum
July 21, 2010 Summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Enacted into Law on July 21, 2010
Client Memorandum
July 9, 2010 Davis Polk Regulatory Implementation Slides
Client Memorandum
July 9, 2010 Summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Passed by the House of Representatives on June 30, 2010
Client Memorandum
July 1, 2010 The Flash Crash Aftermath: Responses to the Trading Events of May 6, 2010
Securities Market
Insights, Vol. 24, No. 7, July 2010
June 28, 2010 Collins Amendment – Minimum Capital and Risk-Based Capital Requirements
Client Memorandum
June 28, 2010 Senate-House Conference Agrees on Swap Pushout Rule
Client Memorandum
June 28, 2010 Bank Supervisory Agencies’ Final Guidance: Aligning Incentive Compensation with Safety and Soundness Concerns
Client Memorandum
June 25, 2010 Senate-House Conference Agrees on Final Volcker Rule
Client Memorandum
June 7, 2010 SEC Proposes Consolidated Audit Trail
Client Memorandum
June 2, 2010 Financial Reform Side-by-Side Comparison Chart – Key Senate and House Bill Issues
Client Memorandum
June 1, 2010 FINRA Proposes New Operations Personnel Qualification and Registration Requirements
Client Memorandum
May 22, 2010 Summary of the Restoring American Financial Stability Act, Passed by the Senate on May 20, 2010
Client Memorandum
April 29, 2010 A Nice Step Forward: New Q&As on the FDIC’s Policy Statement for Failed Bank Acquisitions
Client Memorandum
April 20, 2010 SEC Proposes Large Trader Reporting System
Client Memorandum
April 19, 2010 SEC’s Latest Market Structure Initiative: Proposed Limitation on Options Market Access Fees
Client Memorandum
April 1, 2010 The SEC's New Short Sale Rule: Implications and Ambiguities
Securities Market
Insights, Vol. 24, No. 4, April 2010
March 23, 2010 Summary of Manager’s Amendment to the March Dodd Bill
Client Newsflash

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