The SEC adopted Business Conduct Rules for security-based swap dealers on April 14, 2016. The Business Conduct Rules address requirements analogous to those covered by the CFTC’s exter...
The CFTC recently adopted final uncleared swap margin and segregation requirements. Similarly, the U.S. prudential regulators adopted final margin and segregation requirements for unclear...
In a piece that appeared in the Financial Times’ FT Trading Room on January 8, 2016, Annette Nazareth and Gabriel Rosenberg of Davis Polk’s Financial Institutions Group make their reg...
Since September 30, 2015, 18 rulemaking requirements were finalized and no rulemaking requirements were proposed.
As of the end of the fourth quarter of 2015, a total of 271 Dodd-Frank r...
The U.S. banking regulators’ have adopted final uncleared swap margin, capital and segregation requirements and an interim final margin rule with limited exemptions. We have summarized ...
The Dodd-Frank Act, enacted after the global financial crisis, requires U.S. financial regulators to define and regulate systemically risky firms and activities—a truly Sisyphean task. ...
As of the end of the third quarter of 2015, a total of 271 Dodd-Frank rulemaking requirement deadlines have passed. Of these 271 passed deadlines, 193 (71.2%) have been met with finalized...
On September 22, 2015, the Commodity Futures Trading Commission proposed modifications to its position limit aggregation requirements for owned entities (the “2015 Aggregation Proposal?...
On August 5, 2015, the SEC unanimously adopted final rules and forms for the registration of security-based swap dealers and major security-based swap participants. The final rules draw ...
This special Progress Report marks the five-year anniversary of the Dodd-Frank Act. To highlight the anniversary, we have developed a stats-driven infographic
looking at the implementati...
