FINRA rules require broker-dealer members to establish and maintain a system and written procedures to supervise the activities of their personnel, which are reasonably designed to achiev...
Just one day in advance of the December 21, 2013 expiration of the CFTC’s exemptive order delaying the applicability of some CFTC swap regulations for non-U.S. swap dealers and foreign ...
Davis Polk has prepared a set of flowcharts analyzing the prohibition on banking entities sponsoring or acquiring ownership interests in hedge funds and private equity funds under the fin...
2014 is shaping up to be another significant year for U.S. regulatory reform. In a piece that appeared in the Financial Times’ FT Trading Room on January 3, 2014, Annette Nazareth and G...
In the past month, no rulemaking requirement deadlines passed, 36 rulemaking requirements were finalized and one rule was proposed that would meet a rulemaking requirement.
As of January...
Davis Polk has prepared a set of flowcharts designed to assist banking entities in identifying permissible and impermissible proprietary trading activities under the final regulations imp...
On Friday, just ahead of the expiration of the CFTC’s exemptive order delaying the applicability of some CFTC swap regulations for non-U.S. swap dealers and foreign branches of U.S. swa...
In this Report:
In the past month, no rulemaking requirement deadlines passed, three rulemaking requirements were finalized and one rule was proposed that would meet four rulemaking re...
On November 5, 2013, the Commodity Futures Trading Commission proposed rules to establish new position limits that would apply to 28 agricultural, energy and metals futures contracts, and...
