Searching Content indexed under Securities 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
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
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
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
SEC Enforcement Division Signals Likely Increase In Private Equity Enforcement Actions
On January 23, 2013, Bruce Karpati, Chief of the Securities and Exchange Commission Enforcement Division's Asset Management Unit, offered remarks at the Private Equity International Conference in New York.
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
Basel Committee Revises Liquidity Rules And Grants Banks Additional Time To Satisfy The Liquidity Requirements (Financial Services Alert For January 15, 2013)
The Group of Governors and Heads of Supervision of the Basel Committee on Banking Supervision announced its adoption of certain substantial revisions to the Liquidity Coverage Ratio.
United States
16 Jan 2013
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