Writings and Commentary

Below are direct links to collections of writing and commentary on the Cabinet.


HF Guide | Introduction | Documentation | Adviser Registration Requirement | Adviser Registration Process | Issuer Exemptions Under the ICA and Exchange Act | Securities Act and State Registration Exemptions | Broker-Dealer and other Sales Issues | Communications | Trading | Ownership and Custody | Margin and Credit | Records, Reports, and Inspections | Supervision and Code of Ethics | ERISA | Relationships with Banks

CEA Guide | Introduction to the CEA | What Is a Swap and Other Jurisdictional Questions | What Is a Pool; CPO/CTA Registration Requirement | Application for CPO/CTA Registration | Employees | Disclosure, Reporting and Recordkeeping | Communications | Trading | Margin | Supervision | Non-U.S. Pools | Non-U.S. FCMs and Futures | Insolvency | Appendices

BD Guide | Introduction | What is a Security? | Registration Requirement | How to Register | Employees and APs | Customers | Communications | Research | Trading | Capital Requirements | Custody | ERISA | Insolvency of Broker-Dealers | Internal Investigations | Margin and Credit | Non-U.S. Broker-Dealers | Records, Reports and Inspections | Supervision | Insider Trading

Individual Articles by Body of Law | Accounting | AML | Antitrust | Banking | CEA Regulation | Energy | ERISA/Pension | FATCA | FCPA | Insolvency | Insurance | Legislation | Regulatory Policy | Sanctions | Securities | Security Interests | Tax

Pamphlets on Various Topics

Energy | A Guide to PATH Act Provisions about Renewable Energy | FERC Issues Order Denying Hunter Rehearing Request on Alleged Market Manipulation | FERC Orders Trader to Pay $30 Million for Market Manipulation

Banking | Section 23A for Broker-Dealers

Commodities | A Practitioner's Guide to the CFTC and SEC Whistleblower Programs | Annual Compliance Reports by CFTC Registrants | The NFA’s Swap Dealer Audit | Quick Help Guide on CPO/CTA Regulation

Enforcement | A Practitioner's Guide to the CFTC and SEC Whistleblower Programs | Quick Guide to Settling Class Actions: Process and Procedure

AML | Anti-Money Laundering Regulation for Financial Institutions

Securities | Blue Sky Law Registration Requirements | Hedge Fund Manager Registration Under the Dodd-Frank Act | SEC Adopts Significant Amendments to Private Placement Rules

Tax | Cadwalader’s Guide to Federal Income Tax of Hedge Funds

Dodd-Frank Policy | Old, But Not Dated, Policy Discussions of Dodd-Frank | Dodd-Frank Banking Guidance | Regulation of Swaps under Dodd-Frank | Summary of the Dodd-Frank Wall Street Reform and Consumer Protection Act | Did the Dodd-Frank Act Impact Private Fund Performance? – Evidence from 2010 – 2015 | The Effect of Private Fund Disclosures under the Dodd-Frank Act

LIBOR and Benchmarks | Outline of the European Securities and Markets Authority-European Banking Authority Principles for Benchmark-Setting Processes in the EU | Outline of the Wheatley Review of LIBOR

Sanctions | Quick Guide to U.S. Economic Sanctions

Margin | Wall Street, the Federal Reserve and Stock Market Speculation: A Retrospective