Searching Content indexed under Commodities/Derivatives/Stock Exchanges by Goodwin Procter LLP ordered by Published Date Descending.
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Supreme Courtís Windsor Decision May Create Opportunities For Tax Savings (Financial Services Alert - August 27, 2013)
The Supreme Courtís recent Windsor decision, overturning a section of the Defense of Marriage Act, may allow significant tax savings for certain married same-sex couples.
United States
3 Sep 2013
Massachusetts Division Of Banks Issues Opinion Regarding Approval Process For Installation Of Interactive Teller Machines At Non-Branch Locations (Financial Services Alert for June 25, 2013)
On June 7, 2013 the Commonwealth of Massachusetts Division of Banks issued an opinion, Selected Opinion 013-002, regarding the application process for the installation of Interactive Teller Machines at locations that are not authorized bank branches.
United States
27 Jun 2013
SEC Proposes Rules for Cross-Border Security-Based Swap Activities (Goodwin Procter's Financial Services Alert - May 14, 2013)
The SEC unanimously voted to propose rules and interpretive guidance for parties to cross-border security-based swap transactions.
United States
15 May 2013
FRB Governor Duke Speaks On The Future Of Community Banking (Financial Services Alert For February 12, 2013)
FRB Governor Duke, a former community banker, made a presentation to the Southeastern Bank Management and Directors Conference at the University of Georgiaís Terry College of Business concerning the future of community banking.
United States
13 Feb 2013
Financial Services Alert: Quarterly Review For February 5, 2013
Round-up of Financial Services Alerts from the previous quarter.
United States
6 Feb 2013
New NYSE And NASDAQ Listing Standards Approved: Compensation Committee Independence, Compensation Adviser Engagement And Independence
On January 11, 2013, the U.S. Securities and Exchange Commission approved new listing standards submitted by the New York Stock Exchange and the NASDAQ Stock Market.
United States
6 Feb 2013
FRB Issues Supplemental Policy Statement Concerning the Internal Audit Function and its Outsourcing (Financial Services Alert For January 29, 2013)
Goodwin Procter Financial Services Group Partner, William Stern, will be participating in an upcoming live phone/web seminar hosted by Strafford Publications.
United States
30 Jan 2013
IRS And Treasury Department Issue Highly-Anticipated FATCA Regulations (Financial Services Alert For January 22, 2013)
On January 17, 2013, the IRS and Treasury Department released final regulations under the Foreign Account Tax Compliance Act ("FATCA").
United States
23 Jan 2013
FRB Seeks Comment On Enhanced Prudential Standards For Foreign Banking Organizations And Foreign Nonbank Financial Companies Subject To FRB Supervision (Financial Services Alert for December 26, 2012)
The FRB is requesting comment on a proposed rule to implement the enhanced prudential standards that it is required to establish under Section 165 of the Dodd-Frank Act.
United States
27 Dec 2012
CFTC Staff Postpones CPO Registration Compliance Deadline For Certain Funds Of Funds (Financial Services Alert For December 4, 2012)
The staff of the CFTCís Division of Swap Dealer and Intermediary Oversight issued a no-action letter providing relief to operators of certain commodity pools.
United States
6 Dec 2012
Goodwin Procter Alert: DOJ And SEC Release Detailed Guidance On The Foreign Corrupt Practices Act (Financial Services Alert For November 20, 2012)
Goodwin Procter has prepared a client alert that provides highlights and takeaways from the 120-page guidance on the Foreign Corrupt Practices Act.
United States
21 Nov 2012
Financial Stability Oversight Council Proposes Money Market Fund Reform Options For Public Comment (Financial Services Alert For November 13, 2012)
At a meeting held on November 13, 2012, the Financial Stability Oversight Council approved proposed recommendations for the structural reform of money market mutual funds.
United States
14 Nov 2012
CFTC Issues Range Of Swaps-Related Interpretive Guidance And No-Action Relief (Financial Services Alert For October 16, 2012)
The CFTC issued a number of no-action relief letters and interpretive guidance in the days leading up to the October 12, 2012.
United States
17 Oct 2012
FDIC Issues Final Rule Prohibiting Investment In Corporate Debt Securities By Savings Associations (Financial Services Alert - July 31, 2012)
The FDIC issued a final rule (the "Rule") that prohibits federally-insured state and federal savings associations from acquiring or holding a corporate debt security.
United States
1 Aug 2012
FinCEN To Hold Public Hearings On Proposal To Require Banks And Other Financial Institutions To Establish Customer Due Diligence Programs (Financial Services Alert - July 17, 2012)
As previously discussed in the February 29, 2012 Financial Services Alert, the Financial Crimes Enforcement Network ("FinCEN") issued an advance notice of proposed rulemaking (the "Advance Notice") in which it sought comment on a proposal to expressly require that financial institutions, including initially banks, brokers or dealers in securities, mutual funds, futures commission merchants and introducing brokers in commodities conduct customer due diligence ("CDD"), including by collecting bene
United States
18 Jul 2012
Massachusetts Uniform Trust Code Enacted (Financial Services Alert - July 10, 2012)
Goodwin Procterís Trusts & Estate Planning Practice issued an Alert discussing the key points of the newly enacted Massachusetts Uniform Trust Code.
United States
11 Jul 2012
Alternatives To The Use Of External Credit Ratings In OCC Regulations (Financial Services Alert - July 3, 2012)
In accordance with Section 939A of the Dodd-Frank Act, the OCC published final rules that revise its regulations.
United States
4 Jul 2012
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