The CFTC today joined other U.S. financial regulators in providing coronavirus (COVID-19) related relief from certain regulatory requirements. This relief is designed to help CFTC-registe...
On January 30, 2020, the CFTC proposed a rule that largely codifies no-action relief the Commission previously issued related to the treatment of: (1) package transactions; (2) error trad...
On December 18, 2019, the CFTC proposed rules that would modify and codify the cross-border application of certain of its Title VII swap rules to both U.S. and non-U.S. registered swap de...
Broker-dealer custody of on-blockchain assets has been a key hurdle in the development of a more regulated financial infrastructure for digital assets in the United States. In a joint sta...
On June 21, 2019, the SEC adopted security-based swap (SBS) capital, margin and segregation requirements (the SEC Rules) for SBS dealers (SBSDs) and major SBS participants, revised the ca...
House Financial Services Committee Chair Maxine Waters (D-CA) has released a discussion draft of legislation to amend the SEC’s approach to considering and granting waivers to automatic...
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...
Davis Polk partner Annette Nazareth was the contributing editor for the second edition of Getting the Deal Through:Financial Services Compliance, a compilation of the rules and approache...
Davis Polk partner Annette Nazareth and counsel Zachary Zweihorn co-authored the “Federal Securities Regulation: Securities Act and Exchange Act” section of the American Bar Associa...
Blockchain technology continues to be a lively topic of conversation in legal, business and technology circles. This memo focuses on several key topics for companies considering whether a...
