Dodd-Frank and Related Reforms

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Dodd-Frank Implementation - the Road Ahead
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Regulatory Reform – News and Resources

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Dodd-Frank Act User Guides
Summaries of Legislation
Implementation Status
Volcker Rule
Living Wills and Orderly Liquidation
Regulatory Capital and Basel III Framework
Derivatives Regulation
Securitization and Securities

Client Alerts, Articles, Related Resources and Presentations

Financial Institutions and Regulatory Reform
Broker-Dealers
Employee and Executive Compensation
Mortgages
Additional Presentations
Regulation of Private Funds
Whistleblowers
Credit Rating Agency Reform
Regulatory Developments in Europe
Foreign Banks
Community Banks and Thrifts
Consumer Protection

Dodd-Frank Act Wall Street Reform and Consumer Protection Act
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A Short Summary of the Dodd-Frank Act

Dodd-Frank Act Milestones

Dodd-Frank Act User Guides

Legislation Summaries

Implementation Status

Financial Institutions and Regulatory Reform

Client Alerts and Articles

5/7/2013 Financial Services in 2013 and Beyond: Adapting to the New Regulatory Climate NEW
4/19/2013 SEC and CFTC Issue Identity Theft Rules NEW
4/4/2013 Federal Reserve Board Approves Final Rules Defining When Significant Nonbank Firms are “Predominantly Engaged in Financial Activities”
3/5/2013 Financial Market Utilities: Federal Reserve Proposes Rule on Accounts at Reserve Banks
2/22/2013 OCIE to Target Adviser Payments for Fund Distribution, Funds with “Alternative” Strategies and New Advisors
2/21/2013 FDIC Proposes to Nix Insurance for Dually Payable Deposits – With an Upside and a Nod to International Cooperation
12/27/2012 Out of the Shadows and Into the Light
12/2012 Market Solutions, Vol. 21, No. 4, Financial Markets Association (reprinted with permission).
10/22/2012 Stress Tests: Guidance for Community Banks
10/9/2012 Stress Testing: Final Rules for Banking Organizations from the Federal Banking Agencies
9/5/2012 CFPB Examination Procedures for Larger Participants
8/24/2012 Summary of CFPB Notice of Intent for Gift Card Preemption Determinations
7/20/2012 CFPB Issues Compliance Bulletin on Marketing of Add-on Products
7/17/2012 CFPB Issues Final Rule Broadly Defining Larger Participants for the Consumer Reporting Market
5/29/2012 CFPB Announces Advance Notice of Proposed Rulemaking On General-Purpose Reloadable Prepaid Cards
3/22/2012 Recent Bank Holding Company Expansion Approvals Shed Initial Light on Systemic Risk in Financial Firm Expansion Activities
3/19/2012 Community Banks After Dodd-Frank
2/16/2012 CFPB Issues Proposed Rule Defining "Larger Participants" for Certain Consumer Financial Markets
2/10/2012 Consumer Financial Protection Bureau Finalizes Regulatory Scheme for Remittance Transfers
12/2011 Market Solutions, Vol. 20, No. 4, Financial Markets Association (reprinted with permission).
9/2011 Market Solutions, Vol. 20, No. 3, Financial Markets Association (reprinted with permission).
7/22/2011 FTC Rescinds FCRA Commentary in Handoff to CFPB
7/15/2011 Federal Reserve and FTC Publish Final Credit Score Disclosure Rules
6/2011 Market Solutions, Vol. 20, No. 2, Financial Markets Association (reprinted with permission).
5/23/2011 Federal Reserve Board Proposes New Regulatory Scheme for Remittance Transfers
5/16/2011 Savings and Loan Holding Companies: Supervision by the Federal Reserve Board
3/14/2011 Proposed Budget Cuts to FinCEN's "Project Gateway
3/2011 Market Solutions: Vol. 20, No. 1, Financial Markets Association. Used by permission.
2/10/2011 FDIC Approves Final Rule of Assessments, Dividends, Assessment Base and Large Bank Pricing
2/2/2011 AmericanWest Bancorporation: How a Section 363 Sale in Bankruptcy Provides a Viable Recapitalization Option for Troubled Banks
1/3/2011 A Return to Simplicity Paved with Complexity, Bloomberg Banking & Finance Report, Vol. 4, No. 1. Used by permission.
12/2010 Market Solutions: Vol. 19, No. 4, Financial Markets Association. Used by permission.
6/28/2010 More on Regulatory Reform
6/25/2010 Reconciliation: A Summary Scorecard on Regulatory Reform (Part II)
6/24/2010 Reconciliation: A Summary Scorecard on Regulatory Reform (Part I)
5/3/2010 New Q&As on the Statement of Policy on Qualifications for Failed Bank Acquisitions, April 23, 2010
4/2010 International Briefings: Proprietary Trading by Anna Pinedo and James Tanenbaum
First published in International Financial Law Review. Used by permission.
3/15/2010 SEC Approves Money Market Fund Reform to Better Protect Investors
11/16/2009 SEC Proposes Regulation of Dark Pools
11/13/2009 What Counts? An Update on the Debate Concerning Regulatory Capital
9/18/2009 Federal Reserve Issues Policy on Consumer Compliance Supervision for Nonbank Subsidiaries of Bank Holding Companies and Foreign Banking Organizations
9/4/2009 Enhanced Supervisory Procedures for Newly-Insured FDIC-Supervised Institutions
8/31/2009 FDIC Final Statement of Policy on Qualifications for Failed Bank Acquisitions
7/7/2009 FDIC Issues Proposed Guidelines Restricting Private Equity Investments in Failed Banks
7/5/2009 Proposed Interagency Guidance on Funding and Liquidity Risk Management
9/23/2008 Federal Reserve Board Liberalizes Rules for Investments in Banks

Related Presentations

Volcker Rule

Client Alerts and Articles

Related Presentations

Living Wills and Orderly Liquidation

Client Alerts and Articles

Derivatives Regulation

Client Alerts and Articles

2/5/2013 Avoiding Armageddon: Resolution Regimes for Central Clearing Counterparties
11/19/2012 If It Ain’t Broke, Don’t Fix It: Treasury Exempts Foreign Exchange Swaps and Forwards from Dodd-Frank Swaps Regulation Requirements
10/18/2012 The CFTC’s No-Action Letter Relating to Eligible Contract Participants and Swap Guarantee Arrangements
10/05/2012 Dodd-Frank Considerations for End-Users of Derivatives
7/2/2012 Direct and Significant Connections: CFTC Provides Guidance on Extraterritoriality
6/28/2012 The Federal Banking Agencies’ Regulatory Capital Proposals: Treatment of Derivatives and Collateral and Guarantees Mitigating Credit Risk Associated With Derivatives
11/10/2011 Are We There Yet? Progress on International OTC Derivatives Reform
10/31/2011 Higher, Wider, Deeper: EU Commission Publishes MiFID II and MiFIR Proposals
9/6/2011 Securities and Exchange Commission Tackles Fund Use of Derivatives
7/15/2011 International Reform of OTC Derivative Regulation: How Level Is The Playing Field?
12/30/2010 2010 Derivatives Rulemaking Wrap-Up
12/13/2010 Fraud, Manipulation and Deception: CFTC and SEC Proposed Rules
10/28/2010 Recent Action by the Department of the Treasury Regarding Foreign Exchange Swaps and Foreign Exchange Forwards
6/29/2010 Structured Thoughts: News for the financial services community
3/26/2010 SEC Staff to Evaluate Use of Derivatives by Funds
7/2009 The Standard-Bearer by Anna Pinedo and James Tanenbaum
First published in Financier Worldwide July 2009. Used by permission.
6/2009 Credit Derivatives: Recent Regulatory Developments in the United States by David Kaufman and David Trapani
First published in Futures & Derivatives Law Report June 2009. Used by permission.
4/20/2009 Credit Derivatives: Recent Regulatory Developments

Related Presentations

Broker-Dealers

Client Alerts and Articles

Related Presentations

Regulatory Capital and Basel III Framework

Client Alerts and Articles

4/3/2013 The Basel Committee Proposes to Double Down on Counterparty Exposure Limits
1/10/2013 Liquidity Coverage Ratio: New Basel Measurement Published
11/09/2012 Regulatory Capital: January 1, 2013 Deadline Eased
10/1/2012 Regulatory Capital Estimation Tool Some Observations
9/5/2012 CFPB Examination Procedures for Larger Participants
6/27/2012 New Basel Disclosure Rules – Is It Time to Bookmark www.bis.org?
1/3/2012 A Blueprint for Contingent Convertible Securities?
8/22/2011 CRD4 – Maximum Harmonisation but Minimal Harmony?
8/12/2011 Defining Global Systemically Important Banks and Additional Loss Absorbency Requirements
8/5/2011 UK Treatment of Capital Instruments Under Basel III – A Taxing Issue
7/29/2011 Basel Pillar 3 Disclosure Requirements for Remuneration
6/22/2011 Basel Committee Revises Basel III on the Capital Treatment for Bilateral Counterparty Credit Risk
6/13/2012 The Federal Banking Agencies' Regulatory Capital Proposals - A Summary
4/2011 Possible Structures to Address Bail-In Proposals
1/21/2011 The Minimum "Bail-in" Criteria for Regulatory Capital
1/3/2011 A Return to Simplicity Paved with Complexity, Bloomberg Banking & Finance Report, Vol. 4, No. 1. Used by permission.
12/23/2010 Basel III: The (Nearly) Full Picture
10/25/2010 BCBS Principles for Enhancing Corporate Governance
10/2010 Dodd-Frank and the Capital Markets by Anna Pinedo and James Tanenbaum. Published in Financier Worldwide. Used by permission.
9/15/2010 The New Global Minimum Capital Standards Under Basel III
8/25/2010 Super-Absorbent Bank Regulatory Capital
8/6/2010 A Little Bit Less and a Bit Longer: Update on Basel Capital and Liquidity Reforms
2/2/2010 More, More, More: A Summary of the Basel Proposals
1/25/2010 Banking Agencies Issue Final Regulatory Capital Rule Related to FAS 166 167
11/13/2009 What Counts? An Update on the Debate Concerning Regulatory Capital

Related Presentations

Employee and Executive Compensation

Client Alerts

Related Presentations

Mortgages

Client Alerts

Related Presentations

Private Funds

Client Alerts and Articles

11/13/2012 Money Market Funds: FSOC Proposes Reforms
9/26/2012 Fallout from the Dodd-Frank Zone: Lessons and Challenges for Investment Advisors
8/24/2012 SEC Statement on Money Market Fund Reforms
6/22/2012 SEC Publishes Responses to Frequently Asked Questions about Reporting by Advisers to Private Funds
6/21/2012 SEC Adopts Dodd-Frank Compensation Committee and Adviser Independence Rules
1/25/2012 SEC Clarifies Registration Obligations of Advisory Affiliates
1/18/2012 One Down, One to Go: The SEC Completes the First Required Dodd-Frank Act Regulation D Rulemaking
1/3/2012 Investment Advisor Registration for Private Equity Fund Managers
11/15/2011 Form PF: Systemic Risk Reporting for Private Fund Advisers
9/6/2011 Securities and Exchange Commission Tackles Fund Use of Derivatives
7/28/2011 SEC Proposes Rules Amending the "Qualified Client" Standard and Issues Final Order Revising Dollar Amount Tests
7/28/2011 An Analysis of the SEC's Implementation of Title IV of the Dodd-Frank Act
7/19/2011 Advisor Exemptions and Implementation
6/24/2011 SEC Implements Advisers Act Provisions of Dodd-Frank; Extends Investment Adviser Registration Deadlines
3/4/2011 Investment Adviser Registration for Private Equity Fund Managers
3/2011 A Revised Net Worth Standard for Accredited Investors
2/2011 Real Estate Fund Structuring: The Impact of the Dodd-Frank Wall Street Reform and Consumer Protection Act by Kenneth Muller and Seth Chertok. Reproduced with permission from PREA Quarterly.
1/25/2011 SEC Proposes Amendments to Its Net Worth Standard for Accredited Investors
1/24/2011 The Impact of Title IV of the Dodd-Frank Act on Investment Advisers by Kenneth Muller and Seth Chertok. Reproduced with permission from Bloomberg Finance L.P.
1/2011 SEC Implements Advisers Act Provisions of Dodd-Frank Act by Kenneth Muller and Seth Chertok. Reproduced with permission from INSIGHTS.
12/2010 The SEC's Proposed Rule Regarding the Family Offices Exemption by Kenneth Muller and Seth Chertok. Reproduced with permission from Bloomberg Finance L.P.
11/29/2010 Give Risk a Chance (Venture Funds)
10/15/2010 All in the Family: Family Offices
7/19/2010 Changes in Registration and Reporting Requirements for Private Funds under the Investment Advisers Act of 1940 in the Dodd-Frank Act
6/14/2010 An Examination of the Private Equity Proposals in the Senate Reform Bill by Kenneth Muller and Seth Chertok
Reproduced with permission from Securities Regulation & Law Report.
2/25/2010 Structured Thoughts: Update on the Proposed AIFM Directive

Related Presentations

Money Market Fund Reform: The FSOC Forecast

Whistleblowers

8/22/2012 SEC Whistleblower Office "Open for Business and Ready to Pay"
5/25/2011 A Divided SEC Issues Final Dodd-Frank Whistleblower Program Rules
4/2011 Dodd-Frank and Whistleblowers: Four Paths from the Company to the SEC, MoFo Tech Spring/Summer 2011
2/9/2011 The SEC Speaks: Aggressive Enforcement to Intensify in 2011
1/27/2011 Employment Law Commentary, January 2011: Encouraging Internal Reporting of Potential Fraud Through Cultures of Compliance
11/4/2010 SEC Issues Proposed Dodd-Frank Whistleblower Rules

Securitization and Securities

Client Alerts

4/10/2013 The CFTC’s Further No-Action Relief for Operators of Securitization Vehicles that May Constitute Commodity Pools NEW
1/22/2013 OCC Regulations Affecting Bank Note Offerings Become Effective
1/15/2013 FINRA Provides Early Guidance About Its Exam Priorities; Firms Should Take Notice
12/10/2012 FINRA Issues Guidance for Private Placement Filings
10/31/2012 The CFTC’s Interpretive Letters Regarding Securitizations, REITs and the Definition of “Commodity Pool”
10/03/2012 Stock Exchanges Submit Proposed Compensation Committee and Adviser Independence Rule Changes to SEC
5/31/2012 FSOC Oversight Could Be Catastrophic for Funds
9/6/2011 Securities Holding Companies – Registration Rules Proposed by Federal Reserve
9/29/2011 SEC Proposes Dodd-Frank Conflicts of Interest Rules
9/1/2011 Commission Suggests Tighter Restrictions on REITs and ABS
8/1/2011 ABS Shelf Eligibility Re-Proposal
6/10/2011 Credit Risk Retention Rule Comment Period Extended
5/31/2011 Mortgage REITs Poised to Benefit from Role in Emerging Housing Finance Market
5/25/2011 Impact of Dodd-Frank's Risk Retention Rules on CLOs: Regulatory Agencies' Failure to Account for Crucial Differences among Asset Classes has Potential to Stunt CLO Market, Causing Real Harm to Commercial Lending Markets
5/10/2011 Transatlantic Navigation of Securitization Reforms: A Guide
4/7/2011 U.S. Retained Credit Risk Rules Take Shape
3/1/2011 Lehman Brothers Flip Clause Appeal Set to Be Heard Before UK Supreme Court
2/28/2011 Flip Flop on Flip Clauses Continues by Elana Hahn. Reproduced with permission from Total Securitization
3/16/2011 The Obama Administration's Housing Finance Reform Proposal: Opportunity for the Private Markets
2/4/2011 Securitization Update
10/15/2010 …In Other Securitization News
10/5/2010 FDIC Issues Final Safe Harbor Rule
10/2010 Dodd-Frank and the Capital Markets by Anna Pinedo and James Tanenbaum. Published in Financier Worldwide. Used by permission.
7/21/2010 Dodd-Frank Act Securitization Reform; New SEC ABS Office
6/29/2010 Conference Committee Securitization Reform
5/14/2010 FDIC Issues Notice of Proposed Rulemaking on Securitization Safe Harbor; Seeks Comments on Securitization Reforms
4/20/2010 Historic Changes Proposed for ABS Offering Rules
3/19/2010 FDIC Extends Securitization Safe Harbor Yet Again; Gains More Time to Further Consider Securitization Reforms
3/18/2010 Proposed Securitization Reforms Under the Revised Financial Reform Bill in the U.S. Senate
12/23/2010 CRD3 Changes to Trading Book, Re-securitisations and Securitisations
12/18/2009 FDIC Issues Advance Notice of Proposed Rulemaking on Securitization Safe Harbor; Seeks Comments on Securitization Reforms
12/11/2009 Update: House Passes Securitization Reform
11/18/2009 FDIC Extends Securitization Safe Harbor and Portends Further Securitization Reforms

Related Presentations

Credit Rating Agency Reform

Client Alerts

Related Presentations

Regulatory Developments in Europe

Client Alerts and Articles

5/24/2012 Regulating Europe’s Derivative Markets – Where Are We Now?
1/3/2012 A Blueprint for Contingent Convertible Securities?
12/28/2011 ESMA Consultation on Further Prospectus Directive Technical Advice
11/10/2011 Are We There Yet? Progress on International OTC Derivatives Reform
10/31/2011 Higher, Wider, Deeper: EU Commission Publishes MiFID II and MiFIR Proposals
10/12/2011 EU Proposed Financial Transaction Tax – Fortune or Folly?
9/16/2011 Lords of the Ring-Fence: UK Banking Commission Publishes Its Final Report
8/22/2011 CRD4 – Maximum Harmonisation but Minimal Harmony?
8/19/2011 "R&R" the Hard Way – the FSA's Consultation on Recovery and Resolution
8/12/2011 Defining Global Systemically Important Banks and Additional Loss Absorbency Requirements
8/5/2011 UK Treatment of Capital Instruments Under Basel III – A Taxing Issue
7/29/2011 Basel Pillar 3 Disclosure Requirements for Remuneration
7/29/2011 The Changing Face of European Securities Issuance
7/15/2011 International Reform of OTC Derivative Regulation: How Level Is The Playing Field?
7/5/2011 Product Intervention in the UK and the New FCA
6/22/2011 Basel Committee Revises Basel III on the Capital Treatment for Bilateral Counterparty Credit Risk
5/10/2011 Transatlantic Navigation of Securitization Reforms: A Guide
4/29/2011 ICB Interim Report on UK Banking Reform
4/21/2011 Stepping Into the Shadows
4/18/2011 Review of UK Covered Bond Framework
4/2011 Possible Structures to Address Bail-In Proposals
3/14/2011 FSA Product Intervention
3/1/2011 Lehman Brothers Flip Clause Appeal Set to Be Heard Before UK Supreme Court
2/17/2011 European Resolution and Recovery Framework for Financial Institutions
2/16/2011 Regulatory Developments Affecting Compensation at Financial Institutions: A Comparative Perspective
1/24/2011 Financial Sector Remuneration in the UK and the EU
12/23/2010 CRD3 Changes to Trading Book, Re-securitisations and Securitisations
12/22/2010 European Commission Consultation on the Review of MiFID
12/17/2010 Amendments to the Prospectus Directive
12/17/2010 Structured Thoughts: EU Commission's Further Consultation on PRIPs
11/17/2010 The New EU Directive on AIFMs
11/5/2010 Structured Thoughts: Joint Report of the 3L3 Task Force on PRIPs
9/22/2010 Proposed European Regulation on Short Selling and Credit Default Swaps
9/20/2010 Draft EU Regulation on OTC Derivatives, Central Counterparties and Trade Repositories
9/16/2010 The New EU Financial Regulatory Framework
7/7/2010 CEBS Guidelines for Equity Capital Requirements of Financial Institutions
6/21/2010 A Step Forward or Backward? FSA to be Broken Up
2/10/2010 Structured Thoughts: Structured Products Regulatory Developments: an update on the EU actions on PRIPs
12/29/2009 The Will to Live: Recovery and Resolution Plans for UK Banks
12/15/2009 New UK Bank Levy on Employee Bonuses
11/13/2009 What Counts? An Update on the Debate Concerning Regulatory Capital
7/9/2009 UK White Paper on Reforming Financial Markets

Related Presentations

Foreign Banks

Client Alerts and Articles

12/16/2012 Another Shoes Drops: the Federal Reserve Board Proposes Dodd-Frank Systemic Prudential Regulations for Foreign Banks
7/17/2012 Fordham Law School: The Dodd-Frank Act
5/23/2012 Volcker Rule for Foreign Banks
2/25/2010 Structured Thoughts: Update on the Proposed AIFM Directive

Related Presentations

Community Banks and Thrifts

Related Presentations

The Regulatory Landscape Has Changed: The Community Bank Roadmap for Keeping Up

Consumer Protection

5/17/2013 Further Setback for the CFPB Director’s Authority? NEW
4/23/2013 CFPB Uses Novel Interpretation, Increases Compliance Burden for Gift Card Issuers Through its First Preemption Determination NEW
2/25/2013 Will the CFPB Take on the Regulation of Retirement
Savings Plans?
1/29/2013 D.C. Circuit Hands the CFPB a Setback?
10/20/2012 Consumer Financial Protection Bureau: The First Year
11/30/2012 CFPB Warning and Bulletin for Nationwide Specialty CRAs
4/8/2011 Summary of Final CARD Act Clarifications
3/2/2011 Federal Reserve and FTC Propose Credit Score Disclosure Rules

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