Publications

Searched Practice: Financial Services

"CFTC Issues Final Interpretive Guidance and Policy Statement and Exemptive Order Regarding Cross-Border Application of Dodd-Frank Swap Provisions," Covington E-Alert (8/5/2013)
Julian Hammar Co-Author, Michael Sorrell Co-Author

"Dodd-Frank Anti-Retaliation Provisions: Fifth Circuit Narrows Scope, Rejects SEC and District Court Interpretations," Covington Advisory (7/29/2013)
Tammy Albarrán Co-Author, Steven Fagell Co-Author, Haywood Gilliam Co-Author, Barbara Hoffman Co-Author, Nancy Kestenbaum Co-Author, David Martin Co-Author, Christopher Yeung Co-Author

"D.C. Circuit Rejects Department of Labor's 2010 Interpretation That Loan Officers Are FLSA Nonexempt, Sending a Strong Signal on "Agency Flip-Flops"," Covington E-Alert (7/10/2013)
Thomas Williamson Co-Author, Nicholas Hailey Co-Author

"CFTC Exempts Certain Energy Transactions from Dodd-Frank Regulation," Covington E-Alert (4/5/2013)

"The Threat from Within: Theft of Business Critical Information by Company Insiders," (March 2013)
Chris Bracebridge Co-Author, Kurt Calia Co-Author, David Fagan Co-Author, Marialuisa Gallozzi Co-Author, Robert Haney Co-Author, Robert Newman Co-Author, Richard Shea Co-Author, Lindsey Tonsager Co-Author

"Private Sector's Role In White House Trade Secrets Plan," Law360 (2/21/2013)
David Fagan Co-Author, James Garland Co-Author, Robert Newman Co-Author, Richard Shea Co-Author, Kristen Eichensehr Co-Author

"HUD Issues Final Disparate Impact Rule Under the Fair Housing Act," Covington Advisory (2/14/2013)
John Dugan Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Stuart Stock Co-Author, D. Jean Veta Co-Author, Edward Yingling Co-Author

"Data Privacy and the Foreign Account Tax Compliance Act," Covington E-Alert (2/14/2013)
Daniel Cooper Co-Author, Dirk Suringa Co-Author

"CFTC Issues Final Cross-Border Exemptive Order and Proposed Further Guidance Regarding Cross-border Application of Dodd-Frank Swap Provisions," Covington E-Alert (1/2/2013)
Bruce Bennett Co-Author, Julian Hammar Co-Author, Keith Noreika Co-Author, Ira Palgon Co-Author, William Massey Co-Author, Kerry Burke Co-Author

"Ending “Too-Big-to-Fail”: Title II of the Dodd-Frank Act and the Approach of “Single Point of Entry” Private Sector Recapitalizationof a Failed Financial Company," The Clearing House (January 2013)
John Dugan Author, Keith Noreika Co-Author

"CFTC and SEC Jointly Adopt Swap Product Definition Rules and CFTC Adopts a Final Rule Implementing End-User Exception From Mandatory Clearing," Covington E-Alert (7/27/2012)
Bruce Bennett Co-Author

"Dodd-Frank Anti-Retaliation Provisions: Three Federal Courts Weigh In: Significant Uncertainties for FCPA-Based Claims," Covington Advisory (7/12/2012)
Tammy Albarrán Co-Author, Steven Fagell Co-Author, Haywood Gilliam Co-Author, Barbara Hoffman Co-Author, Nancy Kestenbaum Co-Author

"CFTC Proposes Changes to Position Limits Aggregation Rules," Covington E-Alert (5/23/2012)
Michael Sorrell Co-Author

"CFTC and SEC Jointly Adopt Final Swap Entity Definition Rules," Covington Advisory (5/7/2012)
William Massey Co-Author, Mark Herman Co-Author, Michael Sorrell Co-Author

"The UK Financial Services Authority Review of Anti-Bribery and Anti-Corruption Compliance in Investment Banks – Proposed New Guidance," Covington E-Alert (4/5/2012)
Robert Amaee Co-Author, Simon Currie Co-Author

"The Long Arm of the Law," International Financial Law Review (April 2012)
Bruce Bennett Co-Author, Frederick Knecht Co-Author, Carey Roberts Co-Author

"Legal Issues Raised by Recess Appointment of Director of Consumer Financial Protection Bureau," Covington Advisory (1/5/2012)
John Dugan Co-Author, Stuart Stock Co-Author, Keith Noreika Co-Author, D. Jean Veta Co-Author, Jennifer Xi Co-Author

"Forms of Entry, Operation, Expansion, and Supervision of Foreign Banks in the United States," Regulation of Foreign Banks and Affiliates in the United States (2012)
John Dugan Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"FDIC Insurance and Regulation of U.S. Branches of Foreign Banks," Regulation of Foreign Banks and Affiliates in the United States (2012)
John Dugan Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Federal Reserve Proposes Rules Implementing Enhanced Prudential Standards and Early Remediation Requirements in Dodd-Frank," Covington Advisory (12/22/2011)
John Dugan Co-Author, Michael Nonaka Co-Author

"The Volcker Rule: Troublesome Implications for Non-US Banks," Financier Worldwide (December 2011)
Frederick Knecht Co-Author, Keith Noreika Co-Author, Carey Roberts Co-Author

"Key Aspects of the SECs Recent Changes to the Advisers Act Pursuant to the Dodd-Frank Act," Covington E-Alert (6/27/2011)
Kerry Burke Co-Author

"CFTC Proposes Order Granting Temporary Relief From Certain Dodd-Frank Provisions," Covington E-Alert (6/20/2011)
William Massey Co-Author

"CFTC and Prudential Regulators Propose Margin Requirements for Uncleared Swaps," Covington E-Alert (4/26/2011)
Bruce Bennett Co-Author, Philipp Tamussino Co-Author, William Massey Co-Author

"Congressional Investigations: Bank of America and Recent Developments in Attorney-Client Privilege," Bloomberg Law Reports (12/6/2010)
D. Jean Veta Co-Author, Brian Smith Co-Author

"Financial Sector Pay Governance," Covington Advisory (12/2/2010)
Simon Currie Co-Author, Christopher Walter Co-Author

"CFTC Issues Interim Final Rule on Reporting Requirements," Covington Advisory (10/7/2010)

"Dodd-Frank Act: New Rules for Derivatives," Covington Advisory (7/21/2010)
Philipp Tamussino Co-Author

"Dodd-Frank Act: Revisions to Bank Holding Company Act, Other Banking Reforms and Federal Bank Regulatory Agency Restructuring," Covington Advisory (7/21/2010)
Stuart Stock Co-Author, Keith Noreika Co-Author

"Dodd-Frank Act: Systemic Risk Regulation and Orderly Liquidation of Systemically Important Firms," Covington Advisory (7/21/2010)
Stuart Stock Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Dodd-Frank Act: Advisers to Private Investment Funds," Covington Advisory (7/21/2010)
David Engvall Co-Author, Carolyn Taylor Co-Author

"Dodd-Frank Act: Bureau of Consumer Financial Protection," Covington Advisory (7/21/2010)
Stuart Stock Co-Author, Keith Noreika Co-Author, Gregory Frischmann Co-Author

"Dodd-Frank Act: Final Volcker Rule Provisions," Covington Advisory (7/21/2010)
Carey Roberts Co-Author, Keith Noreika Co-Author, Stuart Stock Co-Author

"Financial Regulatory Reform Legislation - Systemic Risk Regulation and Resolution of Systemically Important Firms," Covington E-Alert (6/2/2010)

"Financial Regulatory Reform Legislation - Revisions to Bank Holding Company Act, Other Banking Reforms and Federal Bank Regulatory Agency Restructuring," Covington E-Alert (5/27/2010)

"Financial Regulatory Reform Legislation - Senate Passes Consumer Financial Protection Legislation," Covington E-Alert (5/26/2010)
Gregory Frischmann Co-Author

"Financial Regulatory Reform Legislation - Limits on Proprietary Trading and Fund Sponsorship and Investment Activities," Covington E-Alert (5/25/2010)

"Financial Regulatory Reform Legislation - Registration of Advisers to Private Investment Funds," Covington E-Alert (5/24/2010)
David Engvall Co-Author

"Financial Regulatory Reform Legislation - Senate OTC Derivatives Bill," Covington E-Alert (5/21/2010)

"Senate Financial Reform Legislation Addresses Proprietary Trading," Covington E-Alert (3/19/2010)
Stuart Stock Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, David Martin Co-Author, David Engvall Co-Author, Michael Nonaka Co-Author

"Registration of Advisers to Private Investment Funds," Covington Advisory (3/16/2010)
David Engvall Co-Author, Kerry Burke Co-Author

"Senators Merkley and Levin Introduce Proprietary Trading Legislation," Covington E-Alert (3/12/2010)
Stuart Stock Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, David Martin Co-Author, David Engvall Co-Author, Michael Nonaka Co-Author

"Update on Private Fund Adviser Registration," Covington E-Alert (10/29/2009)
David Engvall Co-Author, David Martin Co-Author, Carolyn Taylor Co-Author

"Obama Administration Proposes OTC Derivatives Legislation," Covington Advisory (8/12/2009)
Philipp Tamussino Co-Author, David Engvall Co-Author

"Registration of Advisers to Private Investment Funds," Covington E-Alert (7/16/2009)
David Engvall Co-Author, David Martin Co-Author

"Obama Administration Outlines Proposal for Comprehensive Financial Regulatory Reform," Covington E-Alert (6/17/2009)
Stuart Stock Co-Author, David Martin Co-Author, David Engvall Co-Author, Mark Plotkin Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author

"Possible SEC Registration of Investment Funds," Covington E-Alert (4/17/2009)
David Engvall Co-Author, David Martin Co-Author, Carolyn Taylor Co-Author

"New Systemic Risk Legislation," Covington E-Alert (4/17/2009)
Stuart Stock Co-Author, Carolyn Taylor Co-Author

"Treasury Outlines Framework for Financial Regulatory Reform," Covington E-Alert (3/27/2009)
Stuart Stock Co-Author, David Martin Co-Author, David Engvall Co-Author, Keith Noreika Co-Author, Michael Nonaka Co-Author, Mark Plotkin Co-Author

"Obama Administration Unveils Financial Stability Plan," Covington E-Alert (2/10/2009)
Stuart Stock Co-Author, Michael Nonaka Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author

"Client Advisory On New Federal Credit Card Regulations," Covington E-Alert (12/19/2008)
Keith Noreika Co-Author, Mark Plotkin Co-Author, Stuart Stock Co-Author

"Private Equity Investments in Financial Institutions Part II - The Federal Reserve Issues Policy Statement," Covington E-Alert (9/23/2008)
Stuart Stock Co-Author, D. Jean Veta Co-Author, Keith Noreika Co-Author, Mark Plotkin Co-Author, Michael Nonaka Co-Author

"Advising Corporate Directors after the Saving and Loan Disaster," 48 Business Lawyer 1499 (1993)