May 16, 2012 SEC Approves MSRB Interpretive Notice on Municipal Security Underwriters
Client Memorandum
May 8, 2012 SEC Reopens Comment Period for Proposed Amendments to Financial Responsibility Rules for Broker-Dealers
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 23, 2012 SEC Issues Exemptions from Large Trader Reporting Rule
Client Newsflash
April 20, 2012 Volcker Rule Conformance Period Guidelines
Client Memorandum
April 18, 2012 SEC Approves Amendments to FINRA Communications Rules
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 5, 2012 CFTC Adopts Swap Clearing Documentation, Timing and Risk Management Rules
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
March 28, 2012 The JOBS Act: Implications for Broker-Dealers
Client Memorandum
March 12, 2012 CFTC Adopts Internal Business Conduct Rules for Swap Dealers and Major Swap Participants
Client Memorandum
March 7, 2012 CFTC and SEC Jointly Propose Identity Theft Rules
Client Memorandum
March 1, 2012 Dodd-Frank Progress Report
February 1, 2012 Dodd-Frank Progress Report
January 27, 2012 CFTC Adopts Business Conduct Rule for Swap Dealers
Client Memorandum
January 23, 2012 CFTC Adopts Final Rule on Protection of Cleared Swap Customer Collateral
Client Memorandum
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 11, 2012 CFTC Adopts Rules Establishing Swap Reporting Regime
Client Memorandum
January 3, 2012 Dodd-Frank Progress Report
Client Newsletter
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 1, 2011 Dodd-Frank Progress Report
November 7, 2011 CFTC Adopts Final Position Limits for 28 Physical Commodity Futures, Options, and Swaps
Client Memorandum
November 1, 2011 Dodd-Frank Progress Report
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 13, 2011 Volcker Rule Proposed Regulations: Proprietary Trading Summary
Client Memorandum
October 12, 2011 Volcker Rule Proposed Regulations: Proprietary Trading Summary with Annexes
Client Memorandum
October 7, 2011 Leaked Volcker Release – Proprietary Trading
Client Memorandum
October 6, 2011 SEC Staff Alert Reveals Expansive Application of Market Access Rule
Client Newsflash
October 4, 2011 Tighter Circuit Breakers in Equities Markets
Client Newsflash
October 3, 2011 Dodd-Frank Progress Report
September 19, 2011 Credible Living Wills Under the U.S. Regulatory Framework
Client Memorandum
September 6, 2011 Dodd-Frank Progress Report
August 22, 2011 FINRA Files Amended Communications Rules – Impact on Broker-Dealers
Client Newsflash
August 1, 2011 SEC Adopts Large Trader Reporting Requirements
Client Memorandum
July 22, 2011 One-Year Anniversary Dodd-Frank Progress Report
July 21, 2011 SEC Proposes New Custody-Related Reporting and Audit Requirements for Broker-Dealers
Client Memorandum
July 1, 2011 Dodd-Frank Progress Report
June 22, 2011 SEC Approves New FINRA Rule Requiring the Qualification and Registration of Operations Professionals
Client Newsflash
June 17, 2011 CFTC and SEC Act to Defer Dodd-Frank Swaps Requirements
Client Memorandum
June 9, 2011 SEC Adopts Rule on Beneficial Ownership of Security-Based Swaps
Client Newsflash
June 1, 2011 Dodd-Frank Rulemaking Progress Report
Progress as of June 1, 2011
May 17, 2011 60 Days - Over 175 New Derivatives Provisions
Client Memorandum
May 2, 2011 Dodd-Frank Rulemaking Progress Report
Progress as of May 1, 2011
May 2, 2011 Treasury Proposes FX Swap and Forward Exemption
Client Memorandum
April 26, 2011 Credible Living Wills: The First Generation
Client Memorandum

Whitepaper by Davis Polk & Wardwell LLP and McKinsey & Company

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