The materials on this page cover all U.S. Federal banking regulation, statutes and interpretations. See also the Volcker Rule page. See also the bottom of this page for other closely related subjects.
The ERISA materials includes the statute, rules, the PTCEs and background materials (including materials not on the DOL site) plus the individual exemptions. At the bottom of this page is a list of other relevant topic pages.
This page provides access to the principal U.S. insolvency law materials, including the statutory and regulatory materials governing the insolvency of financial institutions and the close-out of "protected contracts." See also the page Security Interests and the Uniform Commercial Code. At the bottom of this page is a list of other potentially relevant pages.
This page provides an overview of the U.S. anti-money laundering (“AML”) laws and regulations, including the USA PATRIOT Act, the Bank Secrecy Act (“BSA”), the Money Laundering Control Act, as well as information as to best practices globally. At the bottom of this page is a list of other potentially relevant topic pages.
This page provides access to materials on Class Actions, including the “Quick Guide to Settling Class Actions: Process and Procedure” and “Settling Class Actions: Process and Procedure.”
This page provides key reference resources and analysis on the SEC guidance related to the requirement that issuers disclose the use of conflict minerals in their products.
This page provides access to materials related to the Foreign Account Tax Compliance Act (FATCA) and other tax reporting and compliance issues. At the bottom of this page is a list of other potentially relevant topic pages.
This page is intended to provide guidance to legal and compliance executives in the management of bribery and other international compliance risks. At the bottom of this page is a list of other potentially relevant topic pages.
The materials on this page are intended as a resource for understanding the law of insider trading and for developing best practices for reducing the associated risks. See also the bottom of this page for other closely related subjects.
We provide a complete guide to the Volcker Rule (12 U.S.C. § 1851), which is intended to restrict United States banks from making certain kinds of speculative investments that do not benefit their customers. See also the bottom of this page for other related subjects.
These materials explore the enactment and recent developments of the Dodd-Frank Whistleblower Program, which grants monetary awards to eligible whistleblowers who voluntarily give the regulators original information that leads to a successful enforcement action. See also the bottom of this page for other closely related subjects.
This page provides an overview of the regulatory requirements applicable to investment advisers and investment funds, including access to Lofchie’s Guide to Hedge Fund Regulation. See also the topic pages on Broker-Dealer Regulation and on the Commodity Exchange Act, which has comprehensive materials regarding the regulation of commodity trading advisors and commodity pool operators. At the bottom of this page is a list of other potentially relevant Topic Pages.
This page provides easy access to a wide variety of studies and discussion pieces relevant to the economic regulatory policy. See also the bottom of this page for related subjects.
This page is a resource for various NASAA model statutes and rules relevant to the financial industry, as well for some of the principal New York State laws including those applicable to the securities markets, the NY Uniform Commercial Code, and the NY virtual currencies regulation. See also the bottom of this page for other related subjects.
This page provides an overview of the enforcement authority of the SEC and FINRA under the U.S. securities laws. It also provides information as to securities litigations and arbitrations. Finally, it provides information as to how firms may respond to enforcement actions. See also the Topic Pages on Anti-Money Laundering, Insider Trading, the Foreign Corrupt Practices Act, Sanctions and Whistleblowers.
The taxation of renewable energy assets is complex and cuts across partnership taxation, tax credit rules, depreciation rules, and other tax specialties. This page provides a collection of renewable energy tax resources, including Tax Code sections, Treasury Regulations, IRS guidance, judicial decisions, and analysis of recent developments. See also the bottom of this page for other related subjects.
This page provides comprehensive information as to the requirements under the securities laws and the Commodity Exchange Act that apply to the production and distribution of investment research, including in connection with securities offerings and by non-U.S. firms. For more general information as to broker-dealer regulatory requirements and as to requirements arising under the CEA, respectively, see the Broker-Dealer page and the Commodity Exchange Act page. See also the bottom of this page for other closely related subjects.
This page describes the margin requirements of the Board of Governors of the Federal Reserve System under Regulation T (applicable to broker-dealers), Regulation U (applicable to other lenders on securities collateral) and Regulation X (applicable to borrowers). It also covers the additional requirements that apply to broker-dealers to collect margin with respect to securities under the rules of the SEC and the rules of the securities self-regulatory organizations, particularly FINRA Rule 4210. See also the separate pages that deal with (i) TBA transactions and the MSFTA Agreement and (ii) Security Futures, including margin on security futures.
"Pay to play" generally refers to the practice of making payments in return for business or other benefits. The term is particularly used to refer to the making political contributions (which need not be cash payments) with the hope of gaining business from governmental entities. The page is focused on the prohibitions adopted under the Securities Laws and the CEA against such improper political contributions.
This page is focused on the terms of the Master Securities Forward Agreement and TBA Transactions and the principal regulatory issues that such agreements raise. Separate pages are focused on Securities Lending Agreements and on Repurchase Agreements. See also the bottom of this page for other closely related subjects.