January 2, 2013 Dodd-Frank Progress Report
Client Newsletter
December 27, 2012 CFTC Issues Final Cross-Border Swap Exemptive Order
Client memorandum
December 20, 2012 Investment Management Regulatory Update
Client Newsletter
December 17, 2012 Dodd-Frank Enhanced Prudential Standards for Foreign Banking Organizations – Summary with Visuals
Client Memorandum
December 17, 2012 SEC Charges Mutual Fund Directors for Inadequate Valuation Oversight
Client Newsflash
December 17, 2012 Visuals: Dodd-Frank Proposal for Foreign Banking Organizations
December 14, 2012 European Commission Action Plan on Corporate Governance of Listed Companies
Client Memorandum
December 13, 2012 Plan d’Action de la Commission Européenne sur la Gouvernance des Sociétés Cotées
Client Memorandum
December 11, 2012 Guidance on FINRA’s Suitability Rule
Client Newsflash
December 5, 2012 SEC Issues Guidance on New Iran Disclosure Requirements
Client Newsflash
December 3, 2012 Dodd-Frank Progress Report
December 2, 2012 Governor Tarullo Foreshadows Proposal to Ring-Fence Large U.S. Operations of Foreign Banks
Client Memorandum
December 1, 2012 Recent Developments in Adequate Protection Under Section 361
Norton Annual Survey of Bankruptcy Law & Practice, 2012 Edition
November 27, 2012 Investment Management Regulatory Update
Client Newsletter
November 27, 2012 香港資本市場における近時の進展(参考和訳)
Client Newsflash
November 20, 2012 ISS Issues Final 2013 Voting Policy Updates
Client Memorandum
November 19, 2012 Treasury Issues FX Swap and FX Forward Exemption
Client Newsflash
November 16, 2012 DOJ and SEC Issue FCPA Guidance
Client Memorandum
November 14, 2012 2013 CCAR Process Begins and U.S. Basel III Rules Are Delayed
Client Memorandum
November 13, 2012 Global Compliance and Investigations Group
Winter 2012
November 12, 2012 Getting the Deal Through - Merger Control 2013
United States
Law Business Research
November 12, 2012 Impact of Dodd-Frank Derivatives Regulations on Latin American Financial Institutions
November 6, 2012 Hong Kong Capital Market Developments
November 5, 2012 SEC Proposes Capital, Margin, and Segregation Rules for Security-Based Swap Dealers
Client Memorandum
November 1, 2012 Dodd-Frank Progress Report
Client Newsletter
October 29, 2012 Hong Kong Stock Exchange Clarifies Pre-IPO Investment Policies
Client Memorandum
October 26, 2012 Implementing the SEC’s Final Conflict Mineral Rules: Guidelines and Commonly Asked Questions
Client Memorandum
October 18, 2012 ISS Proposes 2013 Voting Policy Updates
Client Memorandum
October 18, 2012 SEC Legal Bulletin on Shareholder Proposals
Client Newsflash
October 17, 2012 Investment Management Regulatory Update
Client Newsletter
October 13, 2012 CFTC Clarifies Temporary Application of Swap Regulations and Delays Some Swap-Related Requirements
Client Newsflash
October 9, 2012 OCIE Staff Report on Broker-Dealer Information Barrier Practices
Client Memorandum
October 2, 2012 NYSE and Nasdaq Propose Listing Standards on Compensation Committees and Advisers
Client Memorandum
October 1, 2012 Dodd-Frank Progress Report
Client Newsletter
October 1, 2012 Securities Offerings During Blackout Periods and Following a Quarter-End: What You Need to Know
Client Memorandum
September 28, 2012 FTC Fines Acquirer $850,000 for Failure to File Under HSR Act for Incremental Purchases of a Public Issuer
Client Memorandum
September 26, 2012 Investment Management Regulatory Update
Client Newsletter
September 18, 2012 Davis Polk Video Interview - Insights on the JOBS Act
Video Interview
September 12, 2012 CFTC Clarifies Swap Dealer Registration Timing
Client Memorandum
September 12, 2012 United States Enacts Further Sanctions on Iran and Syria: the Iran Threat Reduction and Syria Human Rights Act of 2012
Client Memorandum
September 6, 2012 Equity cure and ECF: Traps and tricks

The Deal Pipeline, September 6, 2012

September 5, 2012 New Law Requires Issuers to Disclose Certain Iran-Related Transactions
Client Memorandum
September 4, 2012 Dodd-Frank Progress Report
Client Newsletter
September 4, 2012 SEC Issues Proposal to Eliminate General Solicitation Ban as Mandated by the JOBS Act
Client Newsflash
August 24, 2012 NFA Proposes to Amend Rules to Impose New Swaps Registration Requirement on FCMs, IBs, CPOs and CTAs
Client Newsflash
August 24, 2012 SEC Staff Issues FAQs on JOBS Act Research Provisions
Client Newsflash
August 23, 2012 SEC Announces First Whistleblower Program Award
Client Newsflash
August 22, 2012 Investment Management Regulatory Update
Client Newsletter
August 22, 2012 SEC Adopts Final Conflict Minerals Rules with Notable Changes
Client Newsflash
August 22, 2012 SEC Adopts Final Rules Implementing Dodd-Frank Disclosure Requirements for Resource Extraction Issuers
Client Newsflash
August 21, 2012 DOJ Provides FCPA Guidance for Mergers and Acquisitions; Continues Industry-Wide Investigations and Focus on China
Client Memorandum
August 20, 2012 CFTC Proposes Clearing Exemption for Inter-Affiliate Swaps
Client Newsflash
August 20, 2012 Corporate Governance 2012: Global Overview
Getting the Deal Through – Corporate Governance 2012
August 20, 2012 FTC Proposes Amendments to the Premerger Notification Rules Related to the Transfer of Exclusive Patent Rights in the Pharmaceutical Industry
Client Memorandum
August 8, 2012 The Evolution of Sports Bankruptcies
Dow Jones DBR Small Cap
July 30, 2012 CFTC Begins Implementation of Mandatory Clearing of Swaps
Client Newsflash
July 30, 2012 Exit Consents Unlawful Under English Law
Client Newsflash
July 23, 2012 CFPB Announces First Enforcement Action
Client Newsflash
July 19, 2012 CFTC Addresses Compliance Dates for CPO/CTA Registration; Swap Definitions Finalized; CFTC Provides Cross-Border Guidance
Client Newsflash
July 19, 2012 Expansion in Global Reach of U.S. Antitrust Laws
Client Newsflash
July 19, 2012 SEC Adopts Rule Requiring Consolidated Audit Trail
Client Memorandum
July 18, 2012 Dodd-Frank Two-Year Anniversary Progress Report
July 17, 2012 Key Dodd-Frank Derivatives Issues for End Users
Client Memorandum
July 16, 2012 Federal Reserve Issues Guidance on Pre-Filing Review Process
Client Newsflash
July 16, 2012 Investment Management Regulatory Update
Client Newsletter
July 16, 2012 Sunbeam Products – Offering a Ray of Light for Trademark Licensees When Licensors File for Bankruptcy
Client Memorandum
July 12, 2012 U.K. Takeover Panel Consultations – July 2012
Client Newsflash
July 11, 2012 Living Wills: Key Lessons from the First Wave for Second and Third Wave Filers
Client Memorandum
July 11, 2012 SEC and CFTC Finalize Swap Product Definitions: the Title VII Swap Countdown Begins
Client Newsflash
July 10, 2012 Basel Committee and IOSCO Release Consultation Paper on Uncleared Derivatives Margin; CFTC Reopens Comment Period on Uncleared Swap Margin Proposal
Client Newsflash
July 3, 2012 CFTC Proposes Cross-Border Guidance and Exemptive Order
Client Newsflash
July 2, 2012 Dodd-Frank Progress Report
June 25, 2012 U.K. Announces Proposals Intended to Curb Executive Compensation
Client Memorandum
June 25, 2012 Vitro’s Mexican Plan of Reorganization Denied Comity in the U.S.
Insolvency and Restructuring Update
June 22, 2012 CFPB Issues Final Rules Governing Enforcement Procedures and Practices
Client Alert
June 22, 2012 Foreign Bank Acquisitions of U.S. Banks and Thrifts (Chapter 7, Co-Author)
Regulation of Foreign Banks and Affiliates in the United States (7th ed.)
June 22, 2012 Foreign Banks as U.S. Financial Holding Companies (Chapter 10, Co-Author)
Regulation of Foreign Banks and Affiliates in the United States (6th ed.)
June 22, 2012 OCC Revises Lending Limit Rules to Implement Dodd-Frank: Provides Methods for Calculating “Credit Exposure"
Client Newsflash
June 21, 2012 SEC Finalizes Independence Rules for Compensation Committees and Advisers
Client Memorandum
June 19, 2012 Investment Management Regulatory Update
Client Newsletter
June 14, 2012 New Merger Control Regime Now in Force in Brazil
Client Memorandum
June 12, 2012 U.S. Basel III Capital Proposed Rules and Market Risk Final Rule: Out with the Old, In with the New
Client Newsflash
June 6, 2012 SEC Approves “Limit Up-Limit Down” Plan and Tighter Circuit Breakers
Client Newsflash
June 5, 2012 CFTC Adopts Historical Swap Recordkeeping and Reporting Requirements
Client Memorandum
June 1, 2012 Dodd-Frank Progress Report
June 1, 2012 Swap Reporting Clearing & Trading: A Timing Guide
Futures Industry
May 29, 2012 香港資本市場における近時の進展(参考和訳)
Client Newsletter
May 24, 2012 Chinese Antitrust Regulator MOFCOM Approves Google’s Acquisition of Motorola with Conditions
Client Newsflash
May 24, 2012 Mid-Season Update on the 2012 Proxy Season
Client Memorandum
May 23, 2012 FSOC Proposes Hearing Procedures for Systemic Designations of Nonbank Financial Companies and Financial Market
Client Newsflash
May 22, 2012 CFTC Proposes Exemptions from Aggregation under Its Position Limits Rule
Client Memorandum
May 22, 2012 Merger Enforcement Across Political Administrations In The United States
Concurrences: Competition Law Journal
May 21, 2012 CFTC Chairman Gensler Previews Key Elements of Dodd-Frank Title VII Cross-Border Guidance
Client Newsflash
May 17, 2012 Investment Management Regulatory Update
Client Newsletter
May 16, 2012 Hong Kong Regulator Turns Up the Heat on IPO Sponsors
Client Memorandum
May 16, 2012 SEC Approves MSRB Interpretive Notice on Municipal Security Underwriters
Client Memorandum
May 11, 2012 Federal Reserve’s Comprehensive Consolidated Supervision Determination for Chinese Banks Has Broader Implications
Client Memorandum
May 11, 2012 Hong Kong Capital Market Developments
Client Newsletter
May 9, 2012 Regulatory Collateral: TerreStar, Tracy Broadcasting, AMR
DBR Small Cap
Dow Jones
May 8, 2012 SEC Reopens Comment Period for Proposed Amendments to Financial Responsibility Rules for Broker-Dealers
Client Memorandum
May 7, 2012 Delaware Court Temporarily Blocks Martin Marietta’s Hostile Bid to Acquire Rival Vulcan
Client Memorandum
May 7, 2012 SEC Staff Updates Guidance on JOBS Act
Client Memorandum
May 2, 2012 CFTC and SEC Adopt Final Swap Dealer, Major Swap Participant and Eligible Contract Participant Definitions
Client Memorandum
May 2, 2012 Major Swap Participant Analysis under Joint CFTC/SEC. Definitions Finalized on April 18, 2012
Slide Presentation
May 1, 2012 Dodd-Frank Progress Report
April 26, 2012 The JOBS Act: Potential Benefits for Foreign Private Issuers
Client Memorandum
April 23, 2012 SEC Issues Exemptions from Large Trader Reporting Rule
Client Newsflash
April 20, 2012 Volcker Rule Conformance Period Guidelines
Client Memorandum
April 19, 2012 Investment Management Regulatory Update
Client Newsletter
April 18, 2012 SEC Approves Amendments to FINRA Communications Rules
Client Memorandum
April 10, 2012 JOBS Act Implementation Chart
Client Memorandum
April 9, 2012 Federal Reserve Issues Supplemental Notice of Proposed Rulemaking on Requirements for Determining Whether Companies are Predominantly Engaged in Financial Activities
Client Memorandum
April 9, 2012 The JOBS Act: Implications for Private Company Acquisitions and M&A Professionals
Client Newsflash
April 5, 2012 CFTC Adopts Swap Clearing Documentation, Timing and Risk Management Rules
Client Memorandum
April 5, 2012 JOBS Act Becomes Law
Client Newsflash
April 5, 2012 JOBS Act Becomes Law: Reduced Compensation Disclosure for Many IPO Companies and Exchange Act Relief for Private Companies with Significant Equity Compensation
Client Memorandum
April 4, 2012 FSOC Issues Final Rule on Designation of Systemically Important Nonbank Financial Companies
Client Memorandum
April 2, 2012 Dodd-Frank Progress Report
April 1, 2012 Impact of FATCA on Foreign Funds
Practical Law The Journal
March 30, 2012 The STOCK Act: Implications for Trading on Political Intelligence
Client Memorandum
March 30, 2012 U.S. Supreme Court Holds that the Statute of Limitations for Section 16(b) Short-Swing Liability Claims Is Not Tolled
Client Newsflash
March 28, 2012 The JOBS Act: Implications for Broker-Dealers
Client Memorandum
March 27, 2012 Congress Passes the JOBS Act
Client Newsflash
March 26, 2012 JOBS法: 資本市場プロフェッショナル、IPO前企業及び私募に対する含意 (参考和訳)
Client Memorandum
March 26, 2012 The JOBS Act: Implications for Capital Markets Professionals, Pre-IPO Companies and Private Offerings
Client Memorandum
March 23, 2012 Senate Passes Legislation To Raise the 500 Shareholder Threshold for SEC Registration and To Relax General Solicitation Prohibition in Reg D Offerings
Client Newsflash
March 22, 2012 U.S. Senate Passes Amended Version of the Jumpstart Our Business Startups Act
Client Newsflash
March 21, 2012 Investment Management Regulatory Update
Client Newsletter
March 12, 2012 CFTC Adopts Internal Business Conduct Rules for Swap Dealers and Major Swap Participants
Client Memorandum
March 9, 2012 Chinese Antitrust Authorities Approve Western Digital/Hitachi GST Deal with Significant Conditions
Client Memorandum
March 9, 2012 Quicker to Market? U.S. House of Representatives Passes the Jumpstart Our Business Startups Act
Client Memorandum
March 7, 2012 CFTC and SEC Jointly Propose Identity Theft Rules
Client Memorandum
March 7, 2012 Summary of the Proposed FATCA Regulations
Client Memorandum
March 1, 2012 Dodd-Frank Progress Report
February 23, 2012 CFTC Adopts Amendments to Registration Exemptions for CPOs and CTAs and Proposes Harmonization Rules for Registered Fund CPOs
Client Memorandum
February 21, 2012 Investment Management Regulatory Update
Client Newsletter
February 8, 2012 Treasury Issues Proposed FATCA Regulations, Seeks to Respond to Market Concerns
Client Memorandum
February 2, 2012 Hong Kong Capital Market Developments
Client Newsletter
February 2, 2012 香港資本市場における近時の進展(参考和訳)
Client Newsletter
February 1, 2012 China Antitrust Review 2011
Client Memorandum
February 1, 2012 Dodd-Frank Progress Report
January 31, 2012 Preparing Your 2011 10-K and 20-F – Environmental Disclosure Considerations
Client Memorandum
January 27, 2012 CFTC Adopts Business Conduct Rule for Swap Dealers
Client Memorandum
January 27, 2012 Revised Jurisdictional Thresholds Under the HSR Act and For the Prohibition of Interlocking Directorates
Client Memorandum
January 23, 2012 CFTC Adopts Final Rule on Protection of Cleared Swap Customer Collateral
Client Memorandum
January 23, 2012 Investment Management Regulatory Update
Client Newsletter
January 20, 2012 New Regulations Address Withholding on “Dividend Equivalents”
Client Newsflash
January 18, 2012 CFTC Establishes Registration Process for Swap Dealers; Key Registration Requirements To Be Set Later
Client Memorandum
January 17, 2012 FINRA Communication Rules – Recent Developments Affecting Structured Notes
Client Newsflash
January 17, 2012 Preparing Your 2011 Form 20-F
Client Memorandum
January 16, 2012 2011 年度フォーム20-F の作成について(参考和訳)
Client Memorandum
January 11, 2012 CFTC Adopts Rules Establishing Swap Reporting Regime
Client Memorandum
January 9, 2012 SEC Changes “Neither Admit Nor Deny” Practice for Criminal Conviction Cases
Client Newsflash
January 9, 2012 SEC Staff Issues Guidance on European Sovereign Debt Exposures
Client Newsflash
January 5, 2012 Indian Competition Law - Annual Review (2011)
Client Memorandum
January 3, 2012 Dodd-Frank Progress Report
Client Newsletter
January 3, 2012 The Law of Unintended Consequences: Competing Plans in the Post-BAPCPA World
Client Memorandum

Insolvency and Restructuring Update

January 1, 2012 Corporate Governance Practices for Initial Public Offerings in the United States
The Conference Board, January 2012
December 23, 2011 Comment: 12 Regulatory Reform Predictions for '12
Financial Times
December 23, 2011 Summary of the Federal Reserve’s Proposed Rules for Enhanced Prudential Standards and Early Remediation Requirements for Covered Companies
Client Memorandum
December 21, 2011 Key Elements of the Revised Model Credit Agreement Provisions
ABA Commercial Law Newsletter, Winter 2011
December 20, 2011 The Law of Unintended Consequences: Competing Plans in the Post-BAPCPA World
New York Law Journal, Vol. 246, No. 118
December 13, 2011 Say-on-Pay Year Two: a Planning Primer
Client Memorandum
December 8, 2011 SEC Staff to Limit Non-Public Initial Review Process for Non-U.S. Issuers
Client Newsflash
December 7, 2011 Investment Management Regulatory Update
Client Newsletter
December 1, 2011 Dodd-Frank Progress Report
December 1, 2011 Enron: 10 Years Later
Law360
November 29, 2011 New ISS Policies Overhaul Say-on-Pay Analysis
Client Memorandum
November 18, 2011 Investment Management Regulatory Update
Client Newsletter
November 7, 2011 CFTC Adopts Final Position Limits for 28 Physical Commodity Futures, Options, and Swaps
Client Memorandum
November 3, 2011 Proposed Treasury Regulations Clarify U.S. Taxation of Investments by Foreign Governments
Client Newsflash
November 1, 2011 Dodd-Frank Derivatives Implementation: If Not Now, When?
Washington Watch
Futures Industry
November 1, 2011 Dodd-Frank Progress Report
November 1, 2011 Navigating the U.S. Living Wills Requirements
A.B.A. Banking L. Comm J.
October 31, 2011 Governance Practices for IPO Companies: A Davis Polk Survey
Client Memorandum
October 30, 2011 Hong Kong Capital Market Developments
Client Newsflash
October 30, 2011 香港IPO資本市場における近時の進展(参考和訳)
Client Newsflash
October 27, 2011 SEC Approves Private Fund Systemic Risk Reporting
Client Newsflash
October 24, 2011 U.S. and European Union Antitrust Agencies Issue Revised “Best Practices” for Coordinating Merger Reviews
Client Newsflash
October 21, 2011 Delaware Court of Chancery Awards $1.26 Billion in Entire Fairness Case
Client Newsflash
October 20, 2011 Cybersecurity: SEC Provides Guidance on Disclosure Considerations
Client Memorandum
October 19, 2011 SEC Staff Rejects Introducing Broker as Appropriate Evidence of Ownership for Shareholder Proposals and Provides Other Technical Guidance
Client Memorandum
October 18, 2011 SEC Proposes Rules on the Registration of Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum
October 17, 2011 FSOC's Proposed Rules for SIFI Designations
Client Memorandum
October 15, 2011 ボルカー・ルール規制案:ヘッジファンド/プライベート・エクイティ・ファンド(参考和訳)
Client Memorandum
October 15, 2011 ボルカー・ルール規制案:自己勘定取引(参考和訳)
Client Memorandum
October 14, 2011 Investment Management Regulatory Update
October 13, 2011 Volcker Rule Proposed Regulations: Hedge / PE Funds Summary
Client Memorandum
October 13, 2011 Volcker Rule Proposed Regulations: Proprietary Trading Summary
Client Memorandum
October 12, 2011 Volcker Rule Proposed Regulations: Hedge / PE Funds Summary with Annexes
Client Memorandum
October 12, 2011 Volcker Rule Proposed Regulations: Proprietary Trading Summary with Annexes
Client Memorandum
October 11, 2011 Lehman Bankruptcy Court Holds Contractual Right to Triangular Setoff Unenforceable In Bankruptcy and Not Protected by Safe Harbors
Client Newsletter
October 7, 2011 Leaked Volcker Release – Funds
Client Memorandum
October 7, 2011 Leaked Volcker Release – Proprietary Trading
Client Memorandum
October 6, 2011 Lehman Bankruptcy Court Holds Contractual Right to Triangular Setoff Unenforceable in Bankruptcy and Not Protected by Safe Harbors
Business Law Currents
Thomson Reuters
October 6, 2011 SEC Staff Alert Reveals Expansive Application of Market Access Rule
Client Newsflash
October 5, 2011 SEC Large Trader Rule: Impact on Corporations and Related Individuals
Client Memorandum
October 4, 2011 Tighter Circuit Breakers in Equities Markets
Client Newsflash
October 3, 2011 Dodd-Frank Progress Report
September 30, 2011 Reevaluating Individual Arbitration of Antitrust Claims After AT&T Mobility v. Concepcion
The Antitrust Counselor

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