Russell Sacks

Russell Sacks

Shearman & Sterling LLP

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New Liquidity and Swing Pricing Rules for US Mutual Funds

On October 13, 2016, a unanimous US Securities and Exchange Commission adopted far-reaching rules intended to address mutual fund liquidity risks. On the same day and by a divided (two to one) vote, the SEC adopted new mutual...more

11/8/2016 - Investment Company Act of 1940 Liquidity Mutual Funds Reporting Requirements SEC

FinCEN Proposes New Rule Requiring Identification of Beneficial Owners

This summer the Financial Crimes Enforcement Network ("FinCEN”) issued a notice of proposed rulemaking proposing a rule that, if adopted, would mandate that financial institutions require their legal entity customers to...more

9/10/2014 - Beneficial Owner CIP Covered Financial Institutions Financial Institutions FinCEN NOPR Reporting Requirements Rulemaking Process SAR

Financial Regulatory Developments Focus - July 2014

In this issue: - Derivatives - Compensation - Regulatory Capital - Credit Ratings - Financial Market Infrastructure - Financial Services - Funds - Enforcement...more

7/9/2014 - Banks CFTC Compliance Credit Ratings Derivatives Enforcement Financial Regulatory Reform Major Swap Participants No-Action Letters No-Action Relief Reporting Requirements Swap Dealers Swaps Valuation

Financial Regulatory Developments Focus - June #3

In this issue: - Compensation - Capital and Prudential Regulation - Bank Structure - Financial Services - Consumer Protection - Enforcement - People - Events...more

6/18/2014 - Banks Capital Markets Disclosure Requirements European Banking Authority Executive Compensation FDIC Financial Conduct Authority (FCA) Legislative Agendas New Legislation OCC Reporting Requirements Rulemaking Process Stress Tests Volcker Rule

SEC Adopts Changes to Broker-Dealer Net Capital and Financial Responsibility Rules

The US Securities and Exchange Commission recently adopted important changes to the financial responsibility rules for securities broker-dealers, including changes to the regulatory capital and regulatory reporting rules. The...more

8/20/2013 - Broker-Dealer Compliance Customer Protection Rule GAAP Lenders Net Capital Rule New Regulations Recordkeeping Requirements Reporting Requirements Risk Mitigation SEC

What’s Going On – Over A Month Of Section 219 Disclosures Under The Iran Threat Reduction And Syria Human Rights Act Of 2012

Section 219 (codified as Section 13(r) of the Securities Exchange Act) has been in effect for six weeks. During this time, more than 100 SEC-registered reporting issuers have made required disclosures regarding their Iran or...more

3/20/2013 - Iran Threat Reduction and Syria Human Rights Act Reporting Requirements

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