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Holiday party: the IRS releases final regulations on cross-border dividend equivalents paid on swaps and in security lending transactions
  • Mayer Brown LLP
  • USA
  • December 9 2013

The waiting for the final regulations addressing when US federal income tax withholding would be imposed on dividend equivalent payments made to

Financial services legislative & regulatory update - December 9, 2013
  • Mintz Levin Cohn Ferris Glovsky and Popeo PC
  • USA
  • December 9 2013

While the Senate was on recess, the House was in, but staffs from both budget committees were hard at work trying to put together a budget deal. By

Final regulation implementing the Volcker Rule
  • Mayer Brown LLP
  • USA
  • December 19 2013

Introduction On December 10, 2013, the five US federal financial regulators (the "Agencies") approved joint final regulations (the "Final

Volcker Rule action plan and model board documents: the conformance and compliance effort begins
  • Arnold & Porter LLP
  • USA
  • February 13 2014

The recently issued final rules implementing section 619 of the Dodd-Frank Act (the “Volcker Rule”) start the clock on banking entities’ efforts to

2014: important annual requirements for investment advisers
  • Sidley Austin LLP
  • USA
  • March 4 2014

Investment advisers registered with the Securities and Exchange Commission (the "SEC") have certain annual requirements under the Investment Advisers

This week in securities litigation (week ending February 7, 2014)
  • Dorsey & Whitney LLP
  • Australia, Hong Kong, United Kingdom, USA
  • February 6 2014

Matthew Martoma was convicted of insider trading by a Manhattan jury. That jury found him guilty of one count of conspiracy and two counts of

2014 compliance checklist for investment advisers
  • Sheppard Mullin Richter & Hampton LLP
  • USA
  • February 26 2014

For those of you still easing into 2014, we thought that now would be a good time to help you plot out your regulatory and internal compliance

Federal rules effective dates
  • Winston & Strawn LLP
  • USA
  • May 20 2013

June 7, 2013 Dual and Multiple Associations of Persons Associated with Swap Dealers, Major Swap Participants and Other Commission Registrants. 78 FR

SEC proposes rules for cross-border security-based swap transactions
  • Fried Frank Harris Shriver & Jacobson LLP
  • USA
  • May 16 2013

On May 1, 2013, the Securities and Exchange Commission ("SEC") unanimously voted to propose rules and interpretive guidance to persons engaging in

The new identity theft red flags rules - get ready!
  • Day Pitney LLP
  • USA
  • May 10 2013

In our April 15 Alert, we discussed the Securities and Exchange Commission's and the Commodity Futures Trading Commission's new rules requiring