On June 12, 2018, the CFTC published a notice of proposed rulemaking that would make permanent the $8 billion temporary swap dealer de minimis registration threshold currently in effect a...
Financial services regulatory reform in 2018 is complex and evolving. To assist in navigating this landscape, the Davis Polk Financial Institutions Group has prepared a reference tool tha...
The Supreme Court’s opinion in Lucia v. SEC, holding that SEC ALJs qualify as Officers of the United States under the Constitution and are therefore subject to the Appointments Clause o...
This visual memorandum describes the proposed amendments to the Volcker Rule regulations issued by the Federal Reserve, FDIC, OCC, SEC and CFTC, as well as key requests for comment about ...
In connection with Margaret E. Tahyar’s participation in the 2018 Prudential Regulation Conference to be hosted by SIFMA and The Clearing House in Washington, D.C. on June 19, 2018, we ...
This visual memorandum describes the key changes the Bipartisan Banking Act – which the House passed today – makes to the regulation of banking organizations. The Economic Growth, Reg...
The SEC recently proposed rules and interpretations seeking to enhance the standard of conduct of broker-dealers and investments advisers when they interact with retail investors. This a...
CFTC Chairman J. Christopher Giancarlo and CFTC Chief Economist Bruce Tuckman released a White Paper on April 26, 2018 that reflects the authors’ personal views on the need for swaps re...
In the first major trading and markets initiative under SEC Chairman Jay Clayton, on March 14, 2018, the SEC proposed to establish a transaction fee pilot program to study the effects of ...
Authored by Jai R. Massari, Annette L. Nazareth, Byron B. Rooney, Jeanine P. McGuinness, Zachary J. Zweihorn, Trevor I. Kiviat, Zachary B. Shapiro, Daniela Dekhtyar-McCarthy and Andrew Ru...
