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
October 30, 2014 FINRA Proposes New "CARDS" Data Collection System
Client Memorandum
October 15, 2014 CFTC Re-Proposes Uncleared Swap Margin Rules
Client Memorandum
October 13, 2014 FINRA Files New Rules Governing Member Payments to Unregistered Persons
Client Memorandum
October 1, 2014 Dodd-Frank Progress Report
Client Newsletter
September 30, 2014 FINRA To Propose Market Structure Actions
Client Memorandum
September 16, 2014 SEC Proposes to Exempt Certain Communications Involving Security-Based Swaps from Securities Act Registration
Client Memorandum
September 15, 2014 Regulators Re-Propose Uncleared Swap Margin, Capital and Segregation Rules for Swap Entities
Client Memorandum
September 2, 2014 Dodd-Frank Progress Report
Client Newsletter
August 5, 2014 SEC Adopts Money Market Fund Reforms
Client Memorandum
July 18, 2014 Dodd-Frank Four-Year Anniversary Progress Report
Client Newsletter
July 3, 2014 SEC Adopts Security-Based Swap Cross-Border Definitional Rule
Client Memorandum
July 1, 2014 Dodd-Frank Progress Report
Client Newsletters
June 18, 2014 Volcker Rule: Observations on Interagency FAQs, OCC Interim Examination Guidelines
Client Memorandum
June 2, 2014 Dodd-Frank Progress Report
Client Newsletter
May 16, 2014 SEC Proposes Recordkeeping, Reporting and Notification Requirements for Security-Based Swap Dealers and Major Security-Based Swap Participants
Client Memorandum
May 1, 2014 Dodd-Frank Progress Report
Client Newsletter
March 3, 2014 Dodd-Frank Progress Report
Client Newsletter
February 12, 2014 M&A Brokers Receive No-Action Relief from Broker-Dealer Registration
Client Memorandum
February 3, 2014 Dodd-Frank Progress Report
Client Newsletter
January 8, 2014 SEC Approves New FINRA Supervision Rules
Client Memorandum
January 7, 2014 CFTC Issues Cross-Border Substituted Compliance Determinations, Provides Limited Phase In for Some Swap Requirements
Client Memorandum
January 5, 2014 Volcker Rule Final Regulations: Funds Flowcharts
Client Memorandum
January 2, 2014 Dodd-Frank Progress Report
Client Newsletter
December 23, 2013 Volcker Rule Final Regulations: Proprietary Trading Flowcharts
Client Memorandum
December 22, 2013 CFTC Announces Cross-Border Substituted Compliance Determinations, Provides Limited Phase-In for Some Swap Requirements
Client Newsflash
December 2, 2013 Dodd-Frank Progress Report
Client Newsletter
November 18, 2013 CFTC Re-Proposes Position Limits for 28 Physical Commodity Futures, Options and Swaps and Revised Aggregation Standards
Client Memorandum
November 18, 2013 SEC Proposes Rules for Crowdfunding Intermediaries
Client Memorandum
November 1, 2013 Dodd-Frank Progress Report
Client Newsletter
October 29, 2013 Webcast: U.S. Regulatory Considerations for Non-U.S. Clearinghouses
October 22, 2013 FINRA Issues Report on Broker-Dealer Conflicts of Interest
Client Memorandum
October 8, 2013 FINRA Issues Notice To Members Discussing Examination Findings Regarding the Revised Suitability Requirements
Client Newsflash
October 7, 2013 SEC Releases Final Municipal Advisor Registration Rules Part II: Permanent Registration Process
Client Memorandum
October 3, 2013 SEC Issues FAQ Regarding Supervisory Responsibility for Legal and Compliance Personnel
Client Memorandum
October 2, 2013 SEC Releases Final Municipal Advisor Registration Rule Part I: Who is a Municipal Advisor?
Client Memorandum
October 1, 2013 Dodd-Frank Progress Report
September 18, 2013 Basel Committee and IOSCO Release Final Policy Framework for Uncleared Derivatives Margin
Client Memorandum
September 3, 2013 Dodd-Frank Progress Report
August 12, 2013 SEC Adopts Amendments to Broker-Dealer Financial Responsibility, Reporting and Audit Requirements
Client Memorandum
July 29, 2013 CFTC Finalizes Cross-Border Swaps Guidance and Establishes Compliance Schedule

Pages

Resources Search: