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Title VII of the Dodd-Frank Act provides the CFTC with jurisdiction over “swaps” and the SEC with jurisdiction over “security-based swaps.” “Swap dealers” and “major swap pa...
In year two of say-on-pay, we find that companies continue to file additional materials to solicit for favorable votes. These additional materials are generally in the form of a brief let...
In this Report:
As of May 1, 2012, a total of 221 Dodd-Frank rulemaking requirement deadlines have passed. Of these 221 passed deadlines, 148 (67%) have been missed and 73 (33%) have b...
On April 5, 2012, President Obama signed into law the Jumpstart Our Business Startups Act (“JOBS Act”). The JOBS Act eases the SEC-registered IPO process for “emerging growth compan...
The Occupy Wall Street Movement has turned its focus on annual meetings, which one media outlet is calling “a rare public forum in U.S. business.” News reports indicate that a coaliti...
Today, the SEC issued an order temporarily exempting broker-dealers from the recordkeeping, reporting, and monitoring requirements of its large trader reporting rule (Rule 13h-1) that are...
Yesterday, the Federal Reserve issued guidelines clarifying when banking entities must bring their activities, investments, relationships and transactions into conformance with the Volcke...
SEC Rules and Regulations
SEC Staff Responds to Form ADV Questions Regarding Exempt Adviser Reporting and Financial Industry Affiliations
SEC Staff Issues Guidance on Issues of Intere...
On April 19, 2012, Davis Polk, in conjunction with Cleary Gottlieb and Sullivan & Cromwell authored a white paper on the separate entity doctrine as applied to the U.S. branches of foreig...
The Securities and Exchange Commission has approved a significant overhaul of FINRA’s rules governing members’ communications with customers and the public. The revised communication ...