Searching Content indexed under Corporate/Commercial Law by Goodwin Procter LLP ordered by Published Date Descending.
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SEC Adopts Final Amendments To Financial Responsibility Rules For Broker-Dealers (Financial Services Alert - August 13, 2013)
On July 30, 2013, the SEC adopted final amendments to the financial responsibility rules for broker-dealers.
United States
16 Aug 2013
FDIC Releases Second Series Of Videos Designed To Provide Information To Bank Directors
The FDIC released a second series of videos designed to provide useful and clear information to bank directors concerning corporate governance, compliance and risk management topics.
United States
7 Aug 2013
SEC Staff Grants No-Action Relief To Treat Government Mortgage-Backed Securities And Private Mortgage-Backed Securities As Part Of The Same Industry For Purposes Of Registered Funds’ Industry Concentration Policies
The staff of the SEC’s Division of Investment Management granted no-action relief, permitting two registered investment companies, via separate requests for relief.
United States
7 Aug 2013
Second Circuit Affirms Dismissal Of 1933 Act Claims Alleging Failure To Disclose Risks Of Exchange-Traded Funds That Focused On Meeting Daily Benchmarks
The Second Circuit recently affirmed a decision by a New York federal court dismissing claims by investors in certain ProShares exchange-traded funds that the prospectuses contained in the registration statements for those funds failed to disclose risks in violation of Sections 11 and 15 of the Securities Act of 1933.
United States
7 Aug 2013
The Triangle Parking Lot Gets An Ability Makeover!
Volunteers from Goodwin Procter working alongside our EPIC Service Warriors painted over the old, static images for the handicapped parking spaces.
United States
16 Jul 2013
Tech Start-Up Legal Issues 1: Forming Your Company (Video Content)
Edward Zimmerman, a partner at Lowenstein Sandler PC, talks with Bloomberg Law's Spencer Mazyck about choosing a business entity, structuring capital and hiring employees for technology start-ups.
United States
25 Jun 2013
SEC Proposes Amendments To Money Market Fund Requirements (Financial Services Alert For June 11, 2013)
The SEC recently approved for public comment proposals to modify the regulation of money market funds, primarily through amendments to Rule 2a-7 under the Investment Company Act of 1940.
United States
12 Jun 2013
8 Mistakes Founders Make (Video Content)
Join Dave Cappillo of Goodwin Procter LLP as he leads a discussion focused on avoiding eight missteps that entrepreneurs commonly make in the early stages of a company's life cycle.
United States
21 May 2013
The EU AIFM Directive For Private Investment Fund Managers – Breakfast Seminars In NYC (May 9) And Boston (May 10) (Financial Services Alert For April 30, 2013)
Goodwin Procter attorneys Glynn Barwick, Tom Beaudoin, Elizabeth Fries and John Ferguson will be hosting a breakfast presentation and discussion.
United States
1 May 2013
IRS Allows Banks To Deduct, Rather Than Capitalize, Costs Associated With Selling Foreclosure Property (Financial Services Alert For April 23, 2013)
Banks that foreclose on real property may be entitled to more favorable tax treatment for the expenses they incur to sell the foreclosure property.
United States
24 Apr 2013
Goodwin Procter Alert - SEC Clarifies Social Media Use And Reg FD Compliance (Financial Services Alert For April 9, 2013)
Goodwin Procter issued a Client Alert that discusses the SEC’s Report of Investigation with respect to Netflix, Inc. and its CEO Reed Hastings.
United States
11 Apr 2013
SEC Settles Administrative Proceeding Over Deviation From Valuation Policy Stated in Fund Offering Materials and Investor Reports for Registered Adviser's Fund of Private Equity Funds (Financial Services Alert for March 19, 2013
Goodwin Procter Financial Services Group Partner, Peter W. LaVigne, and Counsel, Richard F. Kerr, will be participating in The Financial Markets Association’s 22nd Annual Securities Compliance Seminar.
United States
20 Mar 2013
SEC Exam Review Prompts Risk Alert On Advisers Act Custody Rule Compliance (Financial Services Alert For March 5, 2013)
The SEC's Office of Compliance Inspections and Examinations issued a National Examination Risk Alert that discusses areas of non-compliance with Rule 206(4)-2.
United States
6 Mar 2013
The Alternative Investment Fund Managers Directive – ESMA Remuneration Guidelines
On 11 February 2013, the European Securities and Markets Authority ("ESMA") published its final Guidelines on the remuneration of managers under the Alternative Investment Fund Managers Directive (the "Directive").
European Union
5 Mar 2013
OCIE Announces 2013 SEC National Examination Program Priorities (Financial Services Alert For February 26, 2013)
The SEC’s Office of Compliance Inspections and Examinations ("OCIE") published the 2013 examination priorities for its National Examination Program (the "NEP").
United States
27 Feb 2013
United States
20 Feb 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 Georgia’s 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
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