No New Deadlines. No new rulemaking requirements were due in November.
3 Requirements Proposed. Rules satisfying three rulemaking requirements were proposed this month. Two of the propos...
On October 18, 2011, a divided CFTC approved final rules that establish position limits for 28 exempt (metals and energy) and agricultural commodities. The rules cover futures and options...
The Dodd-Frank Act, signed into law on July 21, 2010, outlined an ambitious plan for the implementation of its comprehensive reform of the over-the-counter derivatives market.
Davis Polk is pleased to present the November Dodd-Frank Progress Report. The 37 rulemaking deadlines in October bring the number to date up to 200 - half of the 400 total required by the...
On October 12, 2011, the Securities and Exchange Commission (the “SEC” or the “Commission”) proposed, by a 3-1 vote, rules under the Dodd-Frank Act to provide for the registration...
The Financial Stability Oversight Council recently approved a proposed rule and guidance setting out the metrics and process it would use to designate a nonbank financial company as syste...
Yesterday, the Federal Reserve, FDIC and OCC released proposed regulations implementing the Volcker Rule.The Dodd-Frank Act requires these three agencies and the SEC and the CFTC to consu...
Yesterday, the Federal Reserve, FDIC and OCC released proposed regulations implementing the Volcker Rule.The Dodd-Frank Act requires these three agencies and the SEC and the CFTC to consu...
On Wednesday, October 5, the American Banker made public a September 30 draft of the imminent interagency release on the Volcker Rule. Although the leaked draft includes the rulemaking re...
A National Exam Risk Alert released by the SEC’s Office of Compliance Inspections and Examinations reveals that the SEC staff is taking an expansive view of a broker-dealer’s obligati...
