The SEC may soon adopt Regulation SCI, which it proposed in March 2013 in the wake of several high-profile systems problems in the securities markets.
In a recent guest commentary in Trad...
On September 8, 2014, the Securities and Exchange Commission (“SEC”) proposed a rule to permanently exempt the publication or distribution of certain security-based swap price quotes ...
On September 3, 2014, U.S. banking regulators re-proposed margin, capital and segregation requirements applicable to swap entities for uncleared swaps. The new proposed rules modify si...
In this Report:
Since July 18, 2014, two rules have been finalized that meet twelve rulemaking requirements, and one rule has been proposed that would meet one rulemaking requirement.
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On July 23, 2014, the Securities and Exchange Commission adopted significant amendments to rules under the Investment Company Act of 1940 and related requirements that govern money market...
This special Progress Report marks the four-year anniversary of Dodd-Frank.
As of July 18, 2014, a total of 280 Dodd-Frank rulemaking requirement deadlines have passed. Of these 280 passe...
On June 25, the SEC adopted the first in a series of rules governing the cross-border reach of its security-based swap regulatory regime. The rules define the term “U.S. person” and ...
In a recent guest commentary in Risk Magazine (subscription required), Annette Nazareth and Jeff Dinwoodie of Davis Polk’s Financial Institutions Group discuss several key questions con...
As of July 1, 2014, a total of 280 Dodd-Frank rulemaking requirement deadlines have passed. Of these 280 passed deadlines, 127 (45.4%) have been missed and 153 (54.6%) have been met with ...
More than six months after the release of final Volcker Rule regulations, banking organizations continue to grapple with a long list of interpretive questions and an opaque process for se...
