Peter LaVigne

Peter LaVigne

Goodwin Procter LLP

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Financial Services Weekly News Roundup - May 2015 #3

SEC Proposals to Enhance Investment Company and Investment Adviser Reporting: As we went to press, the SEC commissioners announced that they had voted to approve two proposals. The first was for new and amended rules and...more

5/22/2015 - Banks Community Banks Conflicts of Interest DOL Enforcement Actions Fiduciary Standard Investment Adviser Investment Funds Morgan Stanley OCIE Private Equity Funds SEC Volcker Rule

Financial Services Weekly News Roundup - May 2015 #2

Senator Shelby Releases Discussion Draft of Financial Regulatory Bill. On May 12 Senator Richard Shelby, the Chairman of the Senate Committee on Banking, Housing, and Urban Affairs, announced that the Committee had...more

5/15/2015 - Anti-Money Laundering Broker-Dealer CFPB Financial Regulatory Reform FinCEN Foreign Direct Investment Industry Examinations NYDFS Proposed Legislation Virtual Currency

Financial Services Weekly News Roundup - May 2015

In This Issue – More on the SEC Whistleblower Program. In the April 8 issue of the Roundup we reported on the SEC’s administrative proceedings based on findings that restrictive language in a form confidentiality...more

5/7/2015 - Enforcement Actions Executive Compensation Hedge Funds Internal Investigations Investment Adviser Pay-for-Performance SEC Whistleblower Awards Whistleblowers

Financial Services Weekly News Roundup - April 2015 #5

Ninth Circuit Denies Rehearing of Northstar v. Schwab. On April 28, the U.S. Court of Appeals for the Ninth Circuit denied the petition of Schwab Investments’ (Schwab) for rehearing and rehearing en banc in the case of...more

4/30/2015 - 401k Broker-Dealer Convertible Debt Enforcement Enforcement Actions ERISA Fiduciary Duty Financial Institutions FINRA Insurance Companies Investment Adviser Investment Company Act of 1940 Money Market Funds Municipal Advisers Ontario Securities Commission Petition for Writ of Certiorari Reverse Convertible Notes SCOTUS SEC Trustees

Financial Services Weekly News Roundup - April 2015 #4

FINRA’s Retrospective Rule Review Process Continues. On April 16, FINRA announced that the FINRA Board of Governors had authorized FINRA to publish a regulatory notice requesting comment on proposed amendments to Rules 2210...more

4/23/2015 - BlackRock CFPB Consumer Lenders Credit Card Agreements Cuba Disclosure Requirements Federal Reserve Filing Requirements FINRA MSRB Municipal Advisers OFAC Proposed Amendments Quicken Loans SEC SIFIs Supervision

Financial Services Weekly News Roundup - April 2015 #3

DOL Fiduciary Standard Proposal. The Department of Labor issued a notice of proposed rulemaking including a definition of the term “fiduciary,” a conflict of interest rule for retirement investments, new exemptions and...more

4/16/2015 - Australia Bank Holding Company Capital Rules Conflicts of Interest DOL Federal Reserve Fiduciary Standard Investment Adviser NPRM Pay-To-Play Prudential Regulation Authority Retirement Plan SEC

Financial Services Weekly News Roundup - April 2015 #2

The SEC Acts to Protect Whistleblowers Against Restrictive Confidentiality Provisions. In a development that should send HR directors and general counsels to review their form confidentiality agreements, the SEC announced...more

4/9/2015 - Asset Valuations Collateralized Loan Obligations Confidentiality Agreements Investment Adviser Investment Funds Iran Sanctions KBR (formerly Kellogg Brown & Root) Nuclear Weapons OFAC Rule 21F SEC Subordination

Financial Services Weekly News Roundup - April 2015

FINRA Requests Comment on Current Membership Application Rules. As part of its ongoing retrospective rule review process, FINRA has published, in Regulatory Notice 15-10, a request for comment on the effectiveness and...more

4/2/2015 - Broker-Dealer CFPB Custody Rule ERISA FINRA NASD Payday Loans SEC Shareholder Proposals

Financial Services Weekly News Roundup - March 2015 #4

Focus on Fiduciary Standards. In February the President’s Council of Economic Advisers (CEA) issued a Report on the Effects of Conflicted Investment Advice on Retirement Savings. In its conclusion, the Report estimated the...more

3/27/2015 - CEA DOL Fiduciary Duty Information Reports Investment Adviser Proposed Amendments Retirement Plan SIFMA

Financial Services Weekly News Roundup - March 2015 #3

SEC Focus on Disqualification Waivers. When negotiating a settlement of an SEC enforcement action against a registered financial services firm – or one that hopes one day to become registered – it is vital to consider the...more

3/19/2015 - Banking Sector CFPB CFTC Disqualification Enforcement Actions Federal Reserve FINRA Regulation A Regulation D Safe Harbors SEC

Financial Services Weekly News Roundup - March 2015 #2

SEC Spotlight on Broker-Dealer Supervision of Outside Business Activities of Registered Representatives. In this issue we report on the SEC’s settled administrative proceedings against H.D. Vest Investment Securities,...more

3/12/2015 - Accredited Investors Arbitration Broker-Dealer CFPB Enforcement Actions FSB G-SIFI IOSCO SEC

Financial Services Weekly News Roundup - March 2015

Federal Regulators Address the Scope of the Marketing Restriction in the Volcker Rule SOTUS Exemption. The federal regulatory agencies responsible for implementing the Volcker rule—The Federal Reserve Board, the...more

3/5/2015 - Covered Funds Exemptions Federal Reserve Foreign Banks Nonbank Firms Trade Restrictions Volcker Rule

Financial Services Weekly News Roundup - February 2015 #4

FDIC Study Shows Branch Banking Has Staying Power: Has your smartphone displaced your bank? According to an FDIC study released on February 19, traditional brick-and-mortar offices are maintaining their primacy, despite...more

2/26/2015 - Advertising Banks Brokers Compliance ERISA FBAR FDIC Financial Analysts FinCEN FINRA Mobile Banking NASD OCC Registered Funds SEC

Financial Services Weekly News Roundup - February 2015 #3

The Impact of Regulation on Community Banks: Harvard Study and Senate Banking Committee Hearing Highlight Differing Views. FDIC Director of Risk Management Supervision Doreen Eberley testified last week before the Senate...more

2/19/2015 - Alternative Investment Funds Alternative Mutual Funds Bad Actors Banking Sector CFTC Commodity Pool Community Banks Dodd-Frank Municipal Securities Market SEC Senate Banking Committee

Financial Services Weekly News Roundup - February 2015 #2

Editor’s Note - FDIC Highlights Efforts to Provide Regulatory Relief for Community Banks: On February 10, 2015, Doreen Eberley, Director at the Federal Deposit Insurance Corporation (FDIC), testified before the U.S....more

2/12/2015 - Banking Sector Bitcoin BitLicense Community Banks FDIC Filing Deadlines Hedging Nonbank Firms NYDFS Proxy Statements SEC Senate Banking Committee

Financial Services Weekly News Roundup - February 2015

Editor’s Note - CFTC Commissioner Giancarlo Proposes “Pro-Reform Reconsideration” of the Swaps Trading Rules. On January 29, CFTC Commissioner J. Christopher Giancarlo published a whitepaper titled “Pro-Reform...more

2/5/2015 - Broker-Dealer CFTC Cybersecurity Dodd-Frank Emerging Technology Companies Enforcement Actions FinCEN SEC SIFMA Swaps White Paper

Financial Services Weekly News Roundup - January 2015 #4

The CFTC Exercises Expanded Jurisdiction Over Retail Transactions in Physical Commodities. Title VII of the Dodd-Frank Act of 2010 amended the Commodity Exchange Act (CEA) to add new authority over certain leveraged,...more

1/30/2015 - Amended Legislation CACR CFTC Class Action Commodities Exchange Act Cuba Dodd-Frank Enforcement Actions Federal Reserve FINRA Investment Adviser Pay-To-Play Payment Systems Proxy Advisors Proxy Voting Guidelines Regulatory Agenda Sanctions SEC

Financial Services Weekly News Roundup - January 2015 #3

Editor’s Note - The Supreme Court Halts Challenge by Retailers to the Debit Card Interchange Fee Rules: On January 20, 2015, the Supreme Court denied certiorari to a challenge by retailers to debit card interchange fee...more

1/22/2015 - CFTC CPOs CTA Debit Cards Disclosure Requirements Federal Reserve Interchange Fees Investment Adviser National Futures Association Proxy Season Retailers S&P SCOTUS SEC Security-Based Swaps Shareholder Proposals

Financial Services Weekly News Roundup - January 2015 #2

Editor’s Note - Rich Matheny Comments on New Format of OFAC Sanctions List: On January 5, OFAC announced the release of a new format of its Specially Designated Nationals and Blocked Persons (SDN) List. With the new...more

1/15/2015 - Anti-Money Laundering Broker-Dealer FDIC FinCEN Industry Examinations Investment Adviser No-Action Relief OFAC Regulatory Agenda Sanctions SDN List SEC Security-Based Swaps Transfer Agents

Financial Services Weekly News Roundup - January 2015

Editor’s Note: FINRA Rulemaking: In this issue we report on three recent FINRA rule amendments. The first amends the NASD rule on the use of customer account statements to require that member firms use more accurate...more

1/8/2015 - Amended Regulation Broker-Dealer CFTC CPOs CTA Family Offices FCMs FINRA NASD NYSE REITS SEC Securities

Financial Services Weekly News Roundup - December 2014 #5

Editor’s Note: Spotlight on the Credit Risk Retention Rule: The OCC, Federal Reserve Board, FDIC, SEC, FHFA and HUD announced the adoption of a joint final rule (the Rule) to implement the credit risk retention...more

12/31/2014 - Asset-Backed Securities Banking Sector Banks Dodd-Frank Enforcement Actions Final Rules Investment Adviser OCIE Prudential Regulation Authority Risk Retention SEC Securities Exchange Act

Financial Services Weekly News Roundup - December 2014 #4

Regulatory Developments - SEC Proposes Changes to Exchange Act Registration Requirements to Implement JOBS Act Mandates - The SEC announced that it is proposing rule amendments under the Securities Exchange Act...more

12/24/2014 - Asset Management Bitcoin BitLicense CPOs ERISA ESMA Federal Reserve FinCEN FINRA FSOC Investment Adviser JOBS Act MiFID NFA Proposed Amendments Registration SEC Securities Exchange Act Volcker Rule Year-End Planning

Financial Services Weekly News Roundup - December 2014 #3

Amendment to Swaps Push-out Provision of Dodd-Frank: Section 630 of the recently passed Consolidated and Further Continuing Appropriations Act, 2015 (“Omnibus Spending Bill” – see p. 249) amends Section 716 of the Dodd-Frank...more

12/19/2014 - Appropriations Bill Asset Management Bank Holding Company Business Development Companies Cuba Dodd-Frank Enforcement Actions ETFs FBAR Federal Reserve FinCEN G-SIB IPO OFAC Push-Out Requirements SEC Swaps Toys R Us

Financial Services Weekly News Roundup - December 2014 #2

Editor’s Note - Spotlight on FINRA Retrospective Rule Review: On December 9, FINRA announced it had issued reports on its retrospective review of two groups of rules – a report on the rules on communications with the...more

12/11/2014 - ACH Payments Banking Sector BSA/AML CFTC CPOs CTA Examination Manual FDIC FFIEC FINRA Foreign Banks Guidance Update Information Reports NACHA NFA OCC Rare Earth Metals Rulemaking Process SEC Supervision Transparency

Financial Services Weekly News Roundup - December 2014

The SEC’s Semiannual Regulatory Agenda. The Federal Office of Information and Regulatory Affairs posted the SEC’s most recent Semiannual Regulatory Agenda which, in compliance with the Regulatory Flexibility Act, identifies...more

12/5/2014 - Administrative Hearings Brokers CFTC CPOs Cross-Border Transactions Disgorgement HSBC Investment Adviser Prejudgment Interest Regulatory Agenda Rulemaking Process SEC Small Business

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