May 16, 2018 Davis Polk Financial Services Regulatory Reform Tool — May 2018
Client Memorandum
May 7, 2018 SEC Proposes Enhanced Standards for Advice to Retail Investors
Client Memorandum
November 6, 2017 SEC Issues Three No-Action Letters to Facilitate Cross-Border Implementation of MiFID II's Research Provisions
Client Memorandum
November 2, 2017 FINRA Establishes New Registration and Qualification Requirements
Client Memorandum
August 21, 2017 U.S. Banking Agencies Clarify Capital Treatment of Cleared Derivatives with Settled-to-Market Variation Margin
Client Memorandum
August 14, 2017 The Federal Reserve Breathes Fresh Air into Its Corporate Governance Guidance
Client Memorandum
August 10, 2017 D.C. Circuit Raises the Bar on SEC Review of SRO Rule Filings—May Further Slow Pace of Agency Actions
Client Memorandum
July 27, 2017 SEC Confirms That Some Initial Coin Offerings Are Illegal Unregistered Securities Offerings
Client Memorandum
July 14, 2017 Treasury Report on Regulatory Reform: Key Recommendations and Initial Regulatory Responses on Capital, Stress Testing and Liquidity
Client Memorandum
June 27, 2017 Regulatory Reform for Mid-Sized and Regional Banks: Where Are We at Mid-Year?
Client Memorandum
May 15, 2017 CFTC’s Project KISS Gets Underway: Giancarlo Makes the First Move
Client Memorandum
May 8, 2017 Financial CHOICE Act 2.0 Passes House Financial Services Committee
Client Memorandum
April 27, 2017 FINRA Proposes Desk Commentary Safe Harbor
Client Memorandum
January 26, 2017 Comparison of Legislation in the 115th Congress Affecting the Rulemaking Process
Client Memorandum
December 20, 2016 SEC Approves Consolidated Audit Trail Plan
Client Memorandum
November 17, 2016 The Trump Transition and Possible Directions for Financial Regulatory Reform
Client Memorandum
October 19, 2016 Security-Based Swap Implementation Timing Update
Client Memorandum
September 13, 2016 FINRA Establishes New Limited Registration Regime for “Capital Acquisition Brokers,” Including Private Fund Placement Agents
Client Memorandum
August 22, 2016 SEC Adopts Amendments to Regulation SBSR
Client Memorandum
July 29, 2016 SEC Proposes New and Enhanced Order Handling Disclosure Requirements
Client Memorandum
July 27, 2016 FINRA Proposes Reporting Requirements for Treasury Securities
Client Memorandum
July 19, 2016 Dodd-Frank Progress Report: Six-Year Anniversary
Client Newsletter
June 3, 2016 The DOL Fiduciary Regulation and Its Impact on the Financial Services Industry
Client Memorandum
May 24, 2016 SEC Adopts Business Conduct Rules for Security-Based Swap Dealers
Client Memorandum
May 2, 2016 Incentive Compensation for Financial Institutions: Reproposal
Client Memorandum
April 18, 2016 Department of Labor’s Final Rule Defining Fiduciary Investment Advice and Conflicts of Interest
Client Memorandum
March 2, 2016 FDIC and SEC Propose Rules to Implement the Provisions for Covered Broker-Dealers under Title II of Dodd-Frank
Client Memorandum
January 22, 2016 U.S. Uncleared Swap Margin, Capital and Segregation Rules
Client Memorandum
January 4, 2016 Dodd-Frank Progress Report: Fourth Quarter 2015
Client Newsletter
December 14, 2015 SEC Proposes New Transparency Requirements for NMS Stock Alternative Trading Systems
Client Memorandum
December 11, 2015 SEC Proposes New Rule Governing the Use of Derivatives by Registered Investment Companies
Client Memorandum
November 12, 2015 U.S. Bank Regulators’ Uncleared Swap Margin, Capital and Segregation Rules
Client Memorandum
October 1, 2015 Dodd-Frank Progress Report: Third Quarter 2015
Client Newsletter
September 30, 2015 CFTC Modifies Proposed Aggregation Standards for Owned Entities under its Position Limit Rules
Client Memorandum
September 28, 2015 CFTC Brings First Bitcoin Enforcement Action, Further Clarifying U.S. Regulatory Landscape for Virtual Currencies
Client Newsletter
August 27, 2015 New FINRA Equity and Debt Research Rules
Client Memorandum
August 26, 2015 SEC Adopts Registration Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum
July 16, 2015 Dodd-Frank Turns Five
Client Newsletter
June 24, 2015 SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement
Client Memorandum
June 1, 2015 SEC Re-Proposes Rules on Arranging, Negotiating or Executing Security-Based Swaps in the United States
Client Newsletter
April 6, 2015 FINRA Issues Regulatory Notices on Algorithmic Trading Strategies
Client Memorandum
April 1, 2015 Dodd-Frank Progress Report: First Quarter 2015
Client Newsletter
March 2, 2015 SEC Issues Reporting Rules for Security-Based Swaps
Client Memorandum
January 6, 2015 CFTC Staff Issues CCO Annual Report Guidance and Related Deadline Extension
Client Memorandum
January 5, 2015 Dodd-Frank Progress Report
Client Newsletter
December 17, 2014 Swaps Pushout Provision Amended: Pushout Requirement in Section 716 Now Limited to Certain ABS Swaps
Client Memorandum
December 11, 2014 FINRA Proposes to Amend Existing Equity Research Rules and Establish New Debt Research Rule
Client Memorandum
December 4, 2014 SEC Adopts Regulation SCI to Strengthen Securities Market Infrastructure
Client Memorandum
December 1, 2014 Dodd-Frank Progress Report
Client Newsletter
November 3, 2014 Dodd-Frank Progress Report
Client Newsletter

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