Russell Sacks

Russell Sacks

Shearman & Sterling LLP

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Financial Regulatory Developments Focus - February 2015 #3

In this issue: - Bank Prudential Regulation & Regulatory Capital - Regulatory Capital Tool for Securitization Exposures - European Banking Authority Reports on Implications of Regulatory Reforms for...more

2/18/2015 - Banking Sector CFPB CFTC Credit Rating Agencies ESMA European Central Bank FDIC Financial Regulatory Reform FSB G20 Investment Funds Mortgages Prudential Regulation Authority Prudential Standards Reporting Requirements SEC Securitization Vehicles Security-Based Swaps

Financial Regulatory Developments Focus - February 2015 #2

In this issue: - US Financial Stability Oversight Council Adopts Supplemental Procedures for Nonbank Financial Company Designations - UK Government to Proceed with Giving Financial Policy Committee Powers for...more

2/12/2015 - Clearing Agencies Credit Ratings Crowdfunding EU Financial Regulatory Reform Hedging Nonbank Firms Pensions Regulatory Agenda SEC Trade Market Abuse UK

Governance & Securities Law Focus: Latin America Edition - February 2015

In this issue: - SEC and NYSE Developments - Noteworthy US Securities Law Litigation - Recent SEC/DOJ Enforcement Matters - Executive Compensation & Employee Benefits Developments -...more

2/5/2015 - Diversity DOJ Employee Benefits Enforcement Actions ESMA EU Directive Executive Compensation Latin America MiFID NYSE SEC Securities Litigation Technical Standards

Financial Regulatory Developments Focus - February 2015

In this issue: - US Federal Deposit Insurance Corporation Issues Proposal Revising Provisions of Securitization Safe Harbor Rule - US Federal Deposit Insurance Corporation Issues Proposal Amending Regulations...more

2/4/2015 - Bank Holding Company Basel Committee Capital Requirements CFPB FCRA FDIC Federal Reserve Leverage Ratio Mortgages Safe Harbors SEC Threshhold Requirements

Financial Regulatory Developments Focus - January 2015 #2

In this issue: - European Banking Authority’s Second Report on Impact of Liquidity Coverage Ratio - Delegated Regulations under CRD IV Published in Official Journal of the European Union - Prudential...more

1/22/2015 - Banks Capital Requirements ESMA EU EU Directive European Banking Authority Final Rules Hong Kong Hong Kong Stock Exchange Liquidity Coverage Ratio OCC Prudential Regulation Authority SEC Security-Based Swaps

Financial Regulatory Developments Focus - December 2014 #5

In this issue: - Bank Prudential Regulation & Regulatory Capital - Consumer Protection - Credit Ratings - Enforcement - Funds - Excerpt from Bank Prudential Regulation &...more

12/30/2014 - Banks Basel Committee Consumer Price Index Credit Ratings Enforcement Actions European Banking Authority FDIC Federal Reserve Financial Conduct Authority Mortgages Prudential Regulation Authority SEC

Financial Regulatory Developments Focus - December 2014 #4

In this issue: - Bank Prudential Regulation & Regulatory Capital - Derivatives - Enforcement - Financial Market Infrastructure - Funds - Recovery and Resolution - People...more

12/24/2014 - Banking Sector Capital Requirements Derivatives ESMA EU Federal Reserve Financial Markets G-SIB JOBS Act OCC Prudential Regulation Authority Prudential Standards Regulation Z SEC Strategic Enforcement Plan TILA Volcker Rule

Financial Regulatory Developments Focus - November 2014 #2

In this issue: - Bank Prudential Regulation & Regulatory Capital - Compensation - Consumer Protection - Derivatives - Enforcement - Financial Services - Funds -...more

11/12/2014 - Broker-Dealer Capital Markets Compliance Derivatives Dodd-Frank Enforcement Enforcement Actions EU FDIC Federal Reserve Financial Regulatory Reform FSB G-SIB OCC Prudential Regulation Authority SEC

Financial Regulatory Developments Focus - October 2014 #5

In this issue: - Bank Prudential Regulation & Regulatory Capital - Derivatives - Recovery & Resolution - Shadow Banking - People - Events - Excerpt from Bank Prudential...more

10/29/2014 - ACH Payments Bank Holding Company Banking Sector Banks CFTC Derivatives EU European Banking Authority European Central Bank European Commission Federal Reserve Final Rules Prudential Regulation Authority Risk Retention SEC Shadow Banking

Credit Risk Retention Rules Finalized

Six federal agencies have finalized long-anticipated joint rules imposing risk retention, or “skin-in-the-game,” requirements for securitizations. The new rules, when they become effective over the next two years, will impose...more

10/24/2014 - Derivatives Dodd-Frank FDIC Federal Reserve FHFA Higher-Risk Securitizations HUD New Regulations OCC Regulation AB Risk Retention SEC Securities Exchange Act Volcker Rule

Governance & Securities Law Focus: Latin America Edition - October 2014

In this issue: - US DEVELOPMENTS - SEC Developments - Noteworthy US Securities Law Litigation - Recent SEC/DOJ Enforcement Matters - EU DEVELOPMENTS - European Commission...more

10/16/2014 - Audits BIS Compliance Corporate Governance DOJ Enforcement Enforcement Actions ESMA EU European Merger Control Regulation FCA Financial Regulatory Reform HKEx SEC Trade Market Abuse UK Voting Rights

SEC Requests Comment on Proposed FINRA Rules Regarding Payment to Unregistered Persons

On September 25, 2014, the U.S. Securities and Exchange Commission (the “SEC”) solicited public comment on proposed FINRA rule changes (the “proposal”) that would substantively amend existing NASD and NYSE rules regarding...more

10/15/2014 - FINRA NASD NYSE Public Comment Registration SEC

Financial Regulatory Developments Focus - October 2014 #3

In this issue: - Derivatives - Bank Prudential Regulation & Regulatory Capital - Recovery & Resolution - Financial Services - Funds - People - Excerpt from...more

10/15/2014 - Banks Basel Committee Broker-Dealer Derivatives ESMA EU European Banking Authority European Central Bank Federal Reserve IOSCO ISDA Prudential Regulation Authority Risk Alert Risk Capital SEC Stress Tests

Financial Regulatory Developments Focus - September 2014 #3

In this issue: - Derivatives - Consumer Protection - Enforcement - People - Events - Excerpt from Derivatives: CFTC Issues No-Action Relief for Qualifying Swaps Trading...more

9/16/2014 - Australia CEA CFTC Commercial Leases Commodities Derivatives DSIO Enforcement Actions Leases Major Swap Participants Money Transfer No-Action Relief Nonbank Firms Regulation M Regulation Z SEC Swap Dealers Swaps

Financial Regulatory Developments Focus - September 2014

In this issue: - Derivatives - Bank Prudential Regulation & Regulatory Capital - Credit Ratings - Financial Services - Shadow Banking - Funds - Financial Market...more

9/2/2014 - Banks CFTC Credit Ratings Derivatives Dodd-Frank Enforcement Actions ESMA EU European Banking Authority FCA Financial Markets Financial Regulatory Reform Prudential Regulation Authority SEC Shadow Banking UK

Financial Regulatory Developments Focus - June 2014 #1

In this issue: - Derivatives - Regulatory Capital - Bank Prudential Regulation - Financial Market Infrastructure - Financial Services - Enforcement - People -...more

6/5/2014 - Banks Capital Markets Capital Requirements Compliance Derivatives EMIR ESMA EU European Banking Authority Financial Markets Financial Regulatory Reform Infrastructure Prudential Regulation Authority SEC UK

Trade Reporting: SEC Approves FINRA Rule Requiring Alternative Trading Systems to Report Activity Weekly

US-registered broker-dealers that operate Alternative Trading Systems will have to report volume information, by security, to FINRA weekly. The first report, for the week of May 12, 2014, is due May 28, 2014. ATS will, by...more

3/17/2014 - Alternative Trading Systems FINRA Market Participants SEC

Governance & Securities Law Focus: Latin America Edition

In this issue: - US Developments - Global Development - EU Developments - Developments Specific To Financial Institutions - Excerpt from US Development: SEC Developments - Iran...more

2/24/2014 - Banks Compliance Corporate Governance Foreign Banks Iran SEC

SEC Offers Relief to M&A Brokers

The Office of the Chief Counsel of the Division of Trading and Markets of the Securities and Exchange Commission recently issued an important “No-Action” Letter providing regulatory relief for participants in certain mergers...more

2/24/2014 - Broker-Dealer No-Action Letters SEC

SEC Approves Amendment to FINRA IPO Allocation Rule 5131, Easing Compliance for Fund Investors

Introduction - On November 27, 2013, the Securities and Exchange Commission (“SEC”) approved a change (the “Amendment”) to FINRA’s IPO allocation rule 5131 (the “Rule”).The Amendment allows a fund-of-funds to rely on a...more

12/9/2013 - FINRA Investment Funds Investors IPO SEC

Iran Notices Update: SEC-Registered Issuers Continue to Adapt to Their New Normal

It has been over eight months since SEC-registered issuers began making mandatory disclosures of business activities in or with Iran. During that period, issuers have filed over 400 Iran Notices with the SEC, including...more

11/5/2013 - Iran Iran Sanctions OFAC SEC

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

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