April 20, 2011 CFTC Releases Swap Margin Proposal
Client Memorandum
April 14, 2011 Regulators Propose Swap Margin and Capital Rules
Client Memorandum
April 12, 2011 FINRA Proposes Rule on the Use of Third-Party Service Providers
Client Newsflash
April 5, 2011 FDIC Releases Joint Notice of Proposed Rulemaking on Resolution Plans and Credit Exposure Reports
Client Memorandum
April 4, 2011 Davis Polk Dodd-Frank Rulemaking Progress Report
Progress as of March 31, 2011
March 31, 2011 Federal Agencies Finalize Proposed Interagency Rule on Incentive-Based Compensation for Financial Institutions
Client Newsflash
March 3, 2011 Federal Agencies Propose Interagency Rule on Incentive-Based Compensation for Financial Institutions
Client Memorandum
February 14, 2011 Summary of the Federal Reserve’s Final Regulations on the Conformance Period for the Volcker Rule
February 9, 2011 Summary of Federal Reserve Proposed Rule on Definitions Related to Nonbank Financial Companies and Interconnectedness of Systemically Important Firms
January 24, 2011 SEC Study on the Fiduciary Duty of Investment Advisers and Broker-Dealers
Client Memorandum
January 19, 2011 Working Summary of the Financial Stability Oversight Council’s January 18, 2011 Proposed Rules on Designation of Systemically Important Nonbank Financial Companies
Client Memorandum

Summary as of January 19, 2011

January 19, 2011 Summary of the Section 622 Study and Recommendations Regarding Concentration Limits on Large Financial Companies, Released by the Financial Stability Oversight Council on January 18, 2011
Summary as of January 19, 2011
January 19, 2011 Summary of the Volcker Rule Study – Proprietary Trading
Summary as of January 19, 2011
November 30, 2010 CFTC Proposes to Register and Regulate Swap Dealers and Major Swap Participants
Client Memorandum
November 22, 2010 CFTC and SEC Propose Swap Data Reporting Rules
Client Newsflash
November 12, 2010 CFTC Proposes Swap Dealer and Major Swap Participant Rules
Client Newsflash
November 5, 2010 SEC Limits Direct Market Access
Client Memorandum
November 3, 2010 MSRB Extends Application of Its Rules and Registration to Municipal Advisors
Client Newsflash
October 15, 2010 SEC and CFTC Adopt Interim Final Rules on Reporting and Recordkeeping for Pre-Dodd-Frank Swaps
Client Newsflash
September 7, 2010 Proxy Access Year One: What to Expect and What to Do Now
General Counsel Update
September 3, 2010 SEC Adopts Rule Providing for Temporary Registration of Municipal Advisors
Client Newsflash
July 26, 2010 SEC Proposes New Regulatory Scheme for 12b-1 Mutual Fund Fees
Client Newsflash
July 21, 2010 Dodd-Frank Wall Street Reform and Consumer Protection Act: Preliminary Assessment of Provisions Effective Immediately or Very Soon After Enactment
Client Memorandum
July 9, 2010 Summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act, Passed by the House of Representatives on June 30, 2010
Client Memorandum
July 9, 2010 Davis Polk Regulatory Implementation Slides
Client Memorandum
June 30, 2010 New Trading Pause Proposals to Include More Issuers
Client Newsflash
June 28, 2010 Senate-House Conference Agrees on Swap Pushout Rule
Client Memorandum
June 25, 2010 Senate-House Conference Agrees on Final Volcker Rule
Client Memorandum
June 7, 2010 SEC Proposes Consolidated Audit Trail
Client Memorandum
June 2, 2010 Financial Reform Side-by-Side Comparison Chart – Key Senate and House Bill Issues
Client Memorandum
June 1, 2010 FINRA Proposes New Operations Personnel Qualification and Registration Requirements
Client Memorandum
May 22, 2010 Summary of the Restoring American Financial Stability Act, Passed by the Senate on May 20, 2010
Client Memorandum
April 20, 2010 SEC Proposes Large Trader Reporting System
Client Memorandum
April 19, 2010 SEC’s Latest Market Structure Initiative: Proposed Limitation on Options Market Access Fees
Client Memorandum
March 17, 2010 Summary of the March 15, 2010 Draft of the Restoring American Financial Stability Act, Introduced by Senator Christopher Dodd (D-CT)
Client Memorandum
March 11, 2010 New “PROP Trading Act” Would Expand “Volcker” Prohibitions
Client Memorandum
March 8, 2010 The SEC’s New Short Sale Rule: Implications and Ambiguities
Client Memorandum
March 4, 2010 Treasury Proposes “Volcker Rule” Legislative Text
Client Memorandum
February 24, 2010 SEC Approves New Short Sale Price Test
Client Newsflash
February 1, 2010 FINRA Proposes Changes to New and Continuing Membership Application Processes
Client Memorandum
January 27, 2010 SEC Proposes Rule Regarding Sponsored Access
Client Memorandum
January 25, 2010 President Obama Proposes Size and Activities Limits for Financial Institutions
Client Memorandum
January 22, 2010 FINRA Proposes Changes to Personnel Registration Requirements
Client Memorandum
January 19, 2010 SEC Issues Concept Release on Equity Market Structure
Client Memorandum
December 15, 2009 Summary of the Wall Street Reform and Consumer Protection Act Passed by the House of Representatives, December 11, 2009
Client Memorandum
November 17, 2009 SEC Proposes Additional Transparency for “Dark Pools” and Intends to Issue Additional Market Structure Proposals and Concept Release Soon
Client Memorandum
November 13, 2009 Summary of the Restoring American Financial Stability Act of 2009, Introduced by Senator Christopher Dodd (D-CT) November 10, 2009 Discussion Draft
Client Memorandum
November 12, 2009 The House and Senate Debate Resolution Authority
Client Memorandum
November 9, 2009 Investor Protection Act Passes House Financial Services Committee
Client Memorandum
October 29, 2009 Competing Over-the-Counter Derivatives Bills Progress Through the House
Client Memorandum

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