Davis Polk is pleased to present the October Dodd-Frank Progress Report. This month, rules meeting three Dodd-Frank requirements were finalized, including the FDIC’s Joint Final Rule on...
The release of two rules on resolution planning by the FDIC last week means that the basic contours of the U.S. regulatory framework for resolution plans are now known. On September 13, 2...
Davis Polk is pleased to present the September Dodd-Frank Progress Report. This month, rules meeting 9 Dodd-Frank requirements were finalized and rules meeting 3 requirements were propose...
The Securities and Exchange Commission recently published for comment FINRA’s proposal to revise its rules governing member firm communications with customers and the public. The SEC ha...
On July 26, 2011, the SEC adopted Rule 13h-1 under the Securities Exchange Act of 1934 to require large trader registration and reporting. The rule requires persons who directly or indire...
Existing supervisors, as well as the new institutions that the Dodd-Frank Act created, collect and aggregate an unprecedented amount of commercially sensitive financial information. Altho...
Davis Polk is pleased to present its One-Year Anniversary Dodd-Frank Progress Report, which provides statistical analysis and graphical illustrations of Dodd-Frank rulemaking, study and i...
The SEC recently proposed amendments to Rule 17a-5 under the Securities Exchange Act of 1934 — the broker-dealer financial reporting rule — that would significantly increase the repor...
Davis Polk is pleased to present the fourth Davis Polk Dodd-Frank Progress Report. This month, rules meeting 14 Dodd-Frank requirements were finalized and rules meeting 6 requirements wer...
On June 16, 2011, the SEC approved new FINRA Rule 1230(b)(6), that will require, for the first time, that persons with supervisory, management or decision-making authority over specified ...
