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CFTC Chairman Releases White Paper on “Cross-Border Swaps Regulation Version 2.0”

USA - October 5 2018 On October 1, 2018, Commodity Futures Trading Commission ("CFTC") Chairman Christopher Giancarlo released a White Paper titled "Cross-Border Swaps...

Ryne V. Miller, Christine Trent Parker, Vanessa K. Blackmore, William D. Torchiana, Samuel R. Woodall III, Waldo D. Jones Jr., Krystian Czerniecki, Daniel M. Wolf, Robert Chu, Wolfgang Feuring, Izumi Akai, Kenneth M. Raisler, Michael G. DeSombre, Gwen Wong, David J. Gilberg, Rebecca J. Simmons, Eric J. Kadel, Jr..


SEC Proposes ETF Rule, Amends Liquidity Risk Reporting Rule and Requires Inline XBRL Reporting by Funds

USA - July 11 2018 At an open meeting held on June 28, 2018, the Securities and Exchange Commission (SEC) voted, among other actions, to: (i) propose a rule and related...

John E. Baumgardner Jr., William G. Farrar, Joseph A. Hearn, Paul J. McElroy, Frederick Wertheim, David J. Gilberg, Eric J. Kadel, Jr., Donald R. Crawshaw, Robert W. Reeder III.


U.S. Department of Labor Issues Caution Regarding Recent ESG Focus of Certain Institutional Investors

USA - April 25 2018 April 25, 2018 U.S. Department of Labor Issues Caution Regarding Recent ESG Focus of Certain Institutional Investors On April 23, 2018, the U.S...

Catherine M. Clarkin, Heather L. Coleman, Melissa Sawyer, Marc Treviño, Alison S. Ressler, H. Rodgin Cohen, Sarah P. Payne, Robert W. Reeder III.


SEC Announces Measures to Facilitate Cross-Border Implementation of the Research Provisions of MiFID II

USA - October 27 2017 Three No-Action Letters Permit Broker-Dealers to Unbundle Research Fees from Commissions without Being Regulated as Investment Advisers; Permit...

John E. Baumgardner Jr., William G. Farrar, Samuel R. Woodall III, Paul J. McElroy, David J. Gilberg, Eric J. Kadel, Jr., Donald R. Crawshaw.


Treasury Issues Comprehensive Report on Depository System Regulatory Reforms

USA - June 14 2017 On June 12, 2017, the U.S. Department of the Treasury ("Treasury") issued a Report (the "Report") recommending a number of comprehensive changes in...

Mitchell S. Eitel, Elizabeth T. Davy, Michael T. Escue, Jared M. Fishman, C. Andrew Gerlach, Jason J. Cabral, Wendy M. Goldberg, Thomas C. Baxter Jr., H. Rodgin Cohen.