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David H. Kaufman

David H. Kaufman
Partner
New York, (212) 468-8237
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Education

  • University of Rochester (B.A., 1980)
  • ;
  • Harvard Law School (J.D., 1983)

Practices

Capital Markets
Financial Institutions + Financial Services
Corporate

Bar Admissions

  • New York
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The CFTC’s Further No-Action Relief for Operators of Securitization Vehicles that May Constitute Commodity Pools
4/10/2013
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Finance + Securitization
Client Alert
Dodd-Frank Implementation: Navigating the Road Ahead
12/20/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products
Newsletter
The Proposed Capital Rules: Application to Bank Assets
12/5/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products, Structured Finance + Securitization
Article
Market Solutions
Financial Markets Association, Vol. 21, No. 4
December 2012/January 2013
Banking + Financial Services, Capital Markets, Corporate, Derivatives + Commodities, Financial Institutions + Financial Services, Financial Services, Investment Management
Article
Reprinted with permission.
“If It Ain’t Broke, Don’t Fix It”: Treasury Exempts Foreign Exchange Swaps and Forwards from Dodd-Frank Swaps Regulation Requirements
11/19/2012
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services
Client Alert
The CFTC's Interpretive Letters Regarding Securitizations, REITs and the Definition of "Commodity Pool"
10/31/2012
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, REITs, Structured Finance + Securitization
Client Alert
The CFTC's No-Action Letter Relating to Eligible Contract Participants and Swap Guarantee Arrangements
10/18/2012
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services
Client Alert
Dodd-Frank Considerations for End-Users of Derivatives
10/5/2012
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services
Client Alert
Dodd-Frank at 2
7/30/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products
Newsletter
CFTC Guidance on Extraterritoriality--Part II
Derivatives Week Vol. XXI, No. 29
7/23/2012
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Financial Services, New Products
Article
CFTC Guidance on Extraterritoriality--Part I
Derivatives Week Vol. XXI, No. 28
7/16/2012
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Financial Services, New Products
Article
Direct and Significant Connections: CFTC Provides Guidance on Extraterritoriality
7/2/2012
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Financial Services, New Products
Client Alert
The Federal Banking Agencies’ Regulatory Capital Proposals: Treatment of Derivatives and Collateral and Guarantees Mitigating Credit Risk Associated With Derivatives
6/28/2012
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, New Products
Client Alert
New Basel Disclosure Rules – Is It Time to Bookmark www.bis.org?
6/27/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services
Client Alert
Market Solutions
Financial Markets Association
Vol. 21, No. 2
June 2012
Banking + Financial Services, Capital Markets, Corporate, Derivatives + Commodities, Financial Institutions + Financial Services, Financial Services
Article
Reprinted with permission.
The Banking Agencies’ New Regulatory Capital Proposals - a More In-Depth Look
6/13/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products
Client Alert
The Federal Banking Agencies' Regulatory Capital Proposals - A Summary
6/13/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services, New Products
Client Alert
Orderly Liquidation Authority: FDIC Announces Its Strategy
5/16/2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Client Alert
Systemically Important Nonbank Financial Institutions: FSOC Approves Final Rule
May 2012
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Article
Extraterritorial Challenges of Derivatives Regulation
Derivatives Intelligence
April 2012
Capital Markets, Derivatives + Commodities, Structured Products
Article
Swap Dealer Registration and Compliance Working Session
4/17/2012
Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Multimedia
Market Solutions, Vol. 21, No. 1
Financial Markets Association
3/2012
Banking + Financial Services, Capital Markets, Corporate, Financial Institutions + Financial Services, Financial Services, Investment Management
Article
Reprinted with permission.
Market Solutions, Vol. 20, No. 4
Financial Markets Association
12/2011
Banking + Financial Services, Capital Markets, Corporate, Financial Institutions + Financial Services, Financial Services, Investment Management
Reprinted with permission.
Structured Thoughts: News for the financial services community
Volume 2, Issue 14
11/8/2011
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, Financial Services, New Products, Structured Products
Newsletter
Market Solutions, Vol. 20, No. 2
Financial Markets Association
6/2011
Banking + Financial Services, Capital Markets, Corporate, Financial Institutions + Financial Services, Financial Services, Investment Management
Article
Reprinted with permission.
Are Consumer Class Actions Coming to the European Union?
2/14/2011
Advertising and Marketing Law, Class Actions, Consumer Products, Electronics, Information Technology, Litigation, Retail
Client Alert
Share Repurchase Considerations
1/11/2011
Broker-Dealer Compliance + Regulation, Capital Markets, Corporate, Public Companies Counseling + Compliance
Multimedia
LegalMinds.tv Reprinted with permission.
2010 Derivatives Rulemaking Wrap-Up
12/30/2010
Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Client Alert
Fraud, Manipulation and Deception: CFTC/SEC Proposed Rules
12/13/2010
Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Client Alert
Legislative/Regulatory Actions
Market Solutions
Volume 19, Number 4
12/2010
Article
Reprinted with permission.
Financial Stability Oversight Council Seeks Public Comments and Input for Volcker Rule Study and Recommendations
10/6/2010
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Financial Services
Client Alert
Structured Thoughts: News for the financial services community
7/20/2010
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions + Financial Services, New Products, Structured Products
Newsletter
Structured Thoughts: News for the financial services community
Vol. 1, Issue 6
3/29/2010
Banking + Financial Services, Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Federal Tax, Financial Institutions | Europe, Financial Institutions + Financial Services, New Products, Securities Offerings | Europe, Structured Products
Newsletter
SEC Staff to Evaluate Use of Derivatives by Funds
3/26/2010
Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Investment Management, Structured Products
Client Alert
The Alternative Uptick Rule
2/24/2010
Broker-Dealer Compliance + Regulation, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Client Alert
Interim Temporary Rule 204T is No Longer Temporary
7/29/2009
Capital Markets, Derivatives + Commodities, Structured Products
Client Alert
Credit Derivatives: Recent Regulatory Developments in the United States
Derivatives Law Report, Vol. 29, Issue 6
6/2009
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Article
Reprinted with permission
Credit Derivatives: Recent Regulatory Developments
4/20/2009
Capital Markets, Derivatives + Commodities, Structured Products
Client Alert
"Good Bank-Bad Bank" for Insurance Companies: Is MBIA Just CIGNA Redux, Plus CDSs?
3/9/2009
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Insurance, Insurance Capital Markets
Client Alert
TARP UPDATE: Troubled Assets Will Not be Purchased
11/13/2008
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Client Alert
Securities Markets: Short Selling Under Fire
INSIGHTS, Vol. 11, No. 11
11/2008
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Article
Used with permission
Credit Default Swaps as Insurance: One Regulator or Many?
10/6/2008
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Insurance, Insurance Capital Markets, Structured Products
Client Alert
SEC Clarifies Short Sale Restrictions and Related Disclosure Requirements
9/29/2008
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Client Alert
Money Market Fund Bailout Update;
First Look: New Asset-Backed Commercial Paper Liquidity Facility
9/24/2008
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services, Investment Management
Client Alert
New Restrictions on Short Sales; Disclosure Requirements for Short Sales and Positions; and Relaxed Issuer Repurchase Requirements
9/21/2008
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions | Europe, Financial Institutions + Financial Services, Securities Offerings | Europe, Structured Products
Client Alert
SEC Takes Emergency Action on Shorting; South Dakota Short Selling Ballot Initiative
9/17/2008
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Client Alert
Upcoming Expiration of Shelf Registration Statements: Avoiding a Blackout Period
8/25/2008
Capital Markets, Corporate, Equity Offerings, Financial Institutions + Financial Services
Client Alert
The Counterparty Risk Management Policy Group III Report Includes Detailed Suggestions for Financial Intermediaries
8/11/2008
Banking + Financial Services, Capital Markets, Financial Institutions + Financial Services
Client Alert
A Short Summary of Short Selling Regulations
7/30/2008
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Client Alert
CSX Ramifications
6/24/2008
Banking + Financial Services, Capital Markets, Derivatives + Commodities, Financial Institutions + Financial Services, Structured Products
Client Alert
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