On June 16, 2011, the SEC approved new FINRA Rule 1230(b)(6), that will require, for the first time, that persons with supervisory, management or decision-making authority over specified ...
The CFTC and SEC took actions this week that are expected to defer most Dodd-Frank requirements regulating swaps and security-based swaps (“SBS”) that would otherwise have gone into e...
The SEC has readopted portions of Rules 13d-3 and 16a-1 to ensure that its current beneficial ownership definition, which applies for purposes of disclosure and short-swing profit rules, ...
Davis Polk is pleased to announce the third installment of the Davis Polk Dodd-Frank Rulemaking Progress Report. This month, rules meeting three Dodd-Frank requirements were finalized and...
On July 16, 2011—60 days from now—over 175 new Dodd-Frank derivatives provisions automatically go into effect. Many of these provisions do not require action from market participants....
Davis Polk is pleased to announce the second installment of the Davis Polk Dodd-Frank Rulemaking Progress Report. This month’s presentation visually illustrates the regulatory burden im...
On April 29, 2011, the United States Department of the Treasury issued a proposed determination that would exempt foreign exchange (“FX”) swaps and forwards from the definition of “...
We are pleased to announce the publication of a Davis Polk and McKinsey & Co. co-authored whitepaper, Credible Living Wills: The First Generation. This unique collaboration combines a leg...
On April 14, 2011, the CFTC released its proposed rules governing margin requirements for uncleared swaps entered into by non-bank swap entities. This newsflash provides an update to our ...
On April 12, 2011, the U.S. banking regulators proposed rules regarding the capital and margin requirements applicable to uncleared swaps. In general, the proposed rules would not impose...
