Analytic Materials

Selected analytic and explanatory materials.



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


Section 23A for Broker-Dealers


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


A Practitioner's Guide to the CFTC and SEC Whistleblower Programs

Quick Guide to Settling Class Actions: Process and Procedure


Anti-Money Laundering Regulation for Financial Institutions


Blue Sky Law Registration Requirements

Hedge Fund Manager Registration Under the Dodd-Frank Act

SEC Adopts Significant Amendments to Private Placement Rules


Guide to Federal Income Tax of Hedge Funds


Did the Dodd-Frank Act Impact Private Fund Performance? – Evidence from 2010 – 2015

Dodd-Frank Banking Guidance

Old, But Not Dated, Policy Discussions of Dodd-Frank

Regulation of Swaps under Dodd-Frank

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

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


Quick Guide to U.S. Economic Sanctions


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