Practice Mobile Menu Trigger Overview Experience Team Insights Subscribe to insights November 17, 2016 Client Update The Trump Transition and Possible Directions for Financial Regulatory Reform President-Elect Trump’s transition website promises to “dismantle the Dodd-Frank Act and replace it with new policies ... August 8, 2016 Articles & Books Getting the Deal Through: Equity Derivatives 2016 Even as the equity markets worked through a difficult stretch globally in 2015, the equity derivative markets continued ... June 24, 2015 Client Update SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement The week of June 15, 2015 saw two of the first publicly announced enforcement actions brought by the SEC and CFTC to enfor... September 16, 2014 Client Update SEC Proposes to Exempt Certain Communications Involving Security-Based Swaps from Securities Act Registration On September 8, 2014, the Securities and Exchange Commission (“SEC”) proposed a rule to permanently exempt the publica... September 15, 2014 Client Update Regulators Re-Propose Uncleared Swap Margin, Capital and Segregation Rules for Swap Entities On September 3, 2014, U.S. banking regulators re-proposed margin, capital and segregation requirements applicable to swap ... December 23, 2013 Client Update Volcker Rule Final Regulations: Proprietary Trading Flowcharts Davis Polk has prepared a set of flowcharts designed to assist banking entities in identifying permissible and impermissib... December 4, 2013 Client Update Nasdaq Proposes More Flexible Compensation Committee Independence Standards The NYSE and Nasdaq listing standards governing the independence of compensation committee members, as required under Dodd... November 18, 2013 Client Update CFTC Re-Proposes Position Limits for 28 Physical Commodity Futures, Options and Swaps and Revised Aggregation Standards On November 5, 2013, the Commodity Futures Trading Commission proposed rules to establish new position limits that would a... November 18, 2013 Client Update SEC Proposes Rules for Crowdfunding Intermediaries The Securities and Exchange Commission recently proposed rules under the JOBS Act that would permit certain private issuer... November 7, 2013 Client Update Enhancing the Effectiveness of the UK Listing Regime – Feedback and Further Consultation On November 5, 2013, the UK Financial Conduct Authority (the “FCA”) published near final rules and a further round of ... Load More
November 17, 2016 Client Update The Trump Transition and Possible Directions for Financial Regulatory Reform President-Elect Trump’s transition website promises to “dismantle the Dodd-Frank Act and replace it with new policies ...
August 8, 2016 Articles & Books Getting the Deal Through: Equity Derivatives 2016 Even as the equity markets worked through a difficult stretch globally in 2015, the equity derivative markets continued ...
June 24, 2015 Client Update SEC and CFTC Turn to Swaps and Security-Based Swaps Enforcement The week of June 15, 2015 saw two of the first publicly announced enforcement actions brought by the SEC and CFTC to enfor...
September 16, 2014 Client Update SEC Proposes to Exempt Certain Communications Involving Security-Based Swaps from Securities Act Registration On September 8, 2014, the Securities and Exchange Commission (“SEC”) proposed a rule to permanently exempt the publica...
September 15, 2014 Client Update Regulators Re-Propose Uncleared Swap Margin, Capital and Segregation Rules for Swap Entities On September 3, 2014, U.S. banking regulators re-proposed margin, capital and segregation requirements applicable to swap ...
December 23, 2013 Client Update Volcker Rule Final Regulations: Proprietary Trading Flowcharts Davis Polk has prepared a set of flowcharts designed to assist banking entities in identifying permissible and impermissib...
December 4, 2013 Client Update Nasdaq Proposes More Flexible Compensation Committee Independence Standards The NYSE and Nasdaq listing standards governing the independence of compensation committee members, as required under Dodd...
November 18, 2013 Client Update CFTC Re-Proposes Position Limits for 28 Physical Commodity Futures, Options and Swaps and Revised Aggregation Standards On November 5, 2013, the Commodity Futures Trading Commission proposed rules to establish new position limits that would a...
November 18, 2013 Client Update SEC Proposes Rules for Crowdfunding Intermediaries The Securities and Exchange Commission recently proposed rules under the JOBS Act that would permit certain private issuer...
November 7, 2013 Client Update Enhancing the Effectiveness of the UK Listing Regime – Feedback and Further Consultation On November 5, 2013, the UK Financial Conduct Authority (the “FCA”) published near final rules and a further round of ...