Davis Polk partners Christopher Schell, Yan Zhang and Derek Walters served as editors of the third edition of The Structured Products Law Review and authored the editors’ preface and th...
In important developments in the transition from LIBOR to alternative reference rates, LIBOR’s regulator and its administrator, as well as trade groups, have made recent announcements r...
Articles & Books
The Law Reviews – The Structured Products Law Review, First Edition
Davis Polk partners Christopher Schell, Yan Zhang and Derek Walters edited the first edition of The Structured Products Law Review and authored the editors’ preface and the “United St...
The SEC adopted its long-awaited Regulation Best Interest, establishing new standard of conduct regulations for SEC-registered broker-dealers and their associated persons that are natural...
On April 22, 2013, the Financial Industry Regulatory Authority (“FINRA”) issued an Interpretive Letter to ALPS Distributors, Inc. setting forth guidance regarding the use of pre-incep...
A working group of the International Organization of Securities Commissions (IOSCO), the Madrid-based international policy forum for securities regulators from more than 115 jurisdictions...
FINRA has recently released Regulatory Notice 12-55, which provides additional suitability guidance related to FINRA Rule 2111 that partially supersedes the guidance given in Regulatory N...
