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Swap Execution Facilities, the Sequel

USA - December 11 2018 The Commodity Futures Trading Commission (the “CFTC”) issued a release (the “SEF Proposing Release”)1 that would make significant revisions to the...

Conor Almquist, Robert Zwirb, Steven D. Lofchie.

Definitely Maybe? The SEC Returns to Security-Based Swap Dealer Regulation

USA - October 12 2018 The Dodd-Frank Wall Street Reform and Consumer Protection Act ("Dodd-Frank") was signed into law eight years ago. Title VII of that law established a...

Conor Almquist, Steven D. Lofchie.

Choose One: Best Interest or Full Service

USA - April 26 2018 On April 18, the SEC approved the publication of three releases (the "Releases") proposing new regulatory requirements that are intended to expand and...

Ellen Holloman, Matthew Lefkowitz, Steven D. Lofchie, James Scott Frazier, Dorothy D Mehta.

Signs, Signs, Everywhere a Sign: Changes in Store for SEC Enforcement under the Trump Administration

USA - March 6 2017 Even before President Trump’s nomination of Jay Clayton as the next Chairman of the Securities and Exchange Commission (“SEC” or “Commission”), signs...

Anne Tompkins, Joseph V. Moreno, J. Robert Duncan, Scott Cammarn, Jodi L. Avergun, Douglas H. Fischer, Bret A. Campbell.

The Trump Administration: President Trump Issues Executive Actions on Dodd-Frank and the DOL “Fiduciary” Rule

USA - February 6 2017 On February 3, 2017, President Trump signed two executive actions intended to provide a framework for scaling back the Dodd-Frank Act (“Dodd-Frank...

Jacob Dachs, Jeffrey Robins, Steven D. Lofchie, Scott Cammarn, James Scott Frazier, Lary Stromfeld.