The July 21 Volcker rule compliance date is approaching rapidly. While most affected firms have completed the year-plus long process of analyzing their activities in light of the rule’s...
On May 13, 2015, the SEC published proposed amendments and re-proposed rules on the application of certain Title VII requirements to cross-border security-based swap activities of non-U.S...
The Financial Industry Regulatory Authority recently issued two Regulatory Notices concerning algorithmic trading as part of a larger package of market structure initiatives. The first R...
In the past quarter, no rulemaking requirement deadlines passed, four rulemaking requirements were finalized and two rulemaking requirements were proposed.
As of the end of the first qua...
The SEC plans to vote on a proposal on March 25 to amend Exchange Act Rule 15b9-1, which currently enables a certain group of limited business broker-dealers to avoid FINRA membership. In...
On February 11, 2015, the Securities and Exchange Commission issued a final rule (the “Final Rule”) and proposed amendments (the “Proposed Rule”) on the reporting and public disse...
In a recent guest commentary in Traders Magazine, Annette Nazareth and Jeffrey Dinwoodie of Davis Polk’s Financial Institutions Group discuss some of the impacts and implications of an ...
On December 22, 2014, the CFTC’s Division of Swap Dealer and Intermediary Oversight (“DSIO”) issued an advisory (the “Advisory”) providing guidance concerning chief compliance o...
In this Report:
In the past quarter, no rulemaking requirement deadlines passed, eleven rulemaking requirements were finalized and one rulemaking requirement was proposed.
At the end ...
A year ago we offered our regulatory predictions for 2014. We correctly predicted a busy year of financial reform implementation, as well as intensified discussions of the relationships a...
