Search for: "Lanny A. Schwartz, Davis Polk & Wardwell LLP," Results 1 - 13 of 13
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SEC and CFTC Release Joint Report on Harmonization of Regulation
23 Oct 2009, 6:03 am
(Editor's Note: This post is based on a client memorandum from Davis Polk & Wardwell LLP by Daniel N. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Adopts Large Trader Reporting Requirements
16 Aug 2011, 6:34 am by Lanny A. Schwartz, Davis Polk & Wardwell LLP,
Editor’s Note: Lanny Schwartz is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Study on the Fiduciary Duty of Investment Advisers and Broker-Dealers
1 Feb 2011, 6:36 am by Annette L. Nazareth, Davis Polk & Wardwell LLP,
Editor’s Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Regulators Propose Swap Margin and Capital Rules
4 Jun 2011, 7:33 am by Annette L. Nazareth, Davis Polk & Wardwell LLP,
Editor’s Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
CFTC Proposes to Register and Regulate Swap Dealers and Participants
21 Dec 2010, 6:07 am by Annette L. Nazareth, Davis Polk & Wardwell LLP,
Editor’s Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Adopts Regulation SCI to Strengthen Securities Market Infrastructure
7 Jan 2015, 5:50 am by Annette L. Nazareth, Davis Polk & Wardwell LLP,
Editor's Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP, and a former commissioner at the U.S. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Proposes Additional Transparency for “Dark Pools”
3 Dec 2009, 7:08 am
Editor's Note: This post is based on a Davis Polk & Wardwell LLP client memorandum by Annette L. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Proposes Flash Order Ban, Announces Market Structure Review
24 Sep 2009, 8:28 am
(Editor's Note: This post comes is based on a Davis Polk &;amp; Wardwell LLP client memorandum by Annette L. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Proposes Limits on Options Market Access Fees
30 Apr 2010, 7:24 am by Margaret E. Tahyar, Davis Polk & Wardwell LLP,
Tahyar is a partner and member of the New York Financial Institutions Group at Davis Polk & Wardwell LLP. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Proposes Large Trader Reporting System
29 Apr 2010, 6:02 am by Annette L. Nazareth, Davis Polk & Wardwell LLP,
Editor’s Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
Department of Labor’s Final Rule on “Fiduciary” Definition
21 Apr 2016, 6:18 am
Nazareth, Davis Polk & Wardwell LLP, on Thursday, April 21, 2016 Editor's Note: Annette Nazareth is a partner in the Financial Institutions Group at Davis Polk & Wardwell LLP, and a former commissioner at the U.S. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
SEC Amendments to Regulation SBSR
25 Aug 2016, 6:24 am
Nazareth, Davis Polk & Wardwell LLP, on Thursday, August 25, 2016 Editor's Note: Annette L. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov
New FINRA Equity and Debt Research Rules
11 Sep 2015, 6:24 am
Nazareth, Davis Polk & Wardwell LLP, on Friday, September 11, 2015 Editor's Note: Annette L. [read post]
The Harvard Law School Corporate Governance Blog - http://blogs.law.harvard.edu/corpgov