Peter LaVigne

Peter LaVigne

Goodwin Procter LLP

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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

Financial Services Weekly News Roundup - November 2014 #4

Editor’s Note: Spotlight on the FDIC: In a Financial Institutions Letter, FIL-56-2014, the FDIC announced additional guidance on its 1998 Statement of Policy on Applications for Deposit Insurance in a Q&A format on...more

11/26/2014 - Annual Reports Bankruptcy Code CFPB Chapter 15 Citigroup Deposit Insurance Draft Rulebook Enforcement Statistics FDIC Financial Institutions FINRA Foreclosure Guidance Update NASD NYSE Regulation SCI SEC

Financial Services Weekly News Roundup - November 2014 #3

FINRA Requests Comment on Proposed “Pay-to-Play” Rule - FINRA issued Regulatory Notice 14-50 requesting comment on proposed “pay-to-play” and related rules that would regulate in a manner similar to Rule 206(4)-5 under...more

11/20/2014 - Alternative Mutual Funds Anti-Money Laundering Civil Monetary Penalty Crowdfunding Dodd-Frank FINRA Investment Adviser Investment Advisers Act of 1940 Pay-To-Play Proposed Regulation Retroactivity SEC Settlement U.S. Treasury Unregistered Securities Variable Insurance

Financial Services Weekly News Roundup - November 2014 #2

The SEC first proposed a study of the fiduciary obligations of brokers and investment advisers as required by the Dodd-Frank Act in July 2010. The SEC still has not made a decision about the shape of a fiduciary rule for...more

11/13/2014 - Bank Holding Company Act Cybersecurity Dodd-Frank ETMFs Exemptive Relief FDIC Federal Reserve FFIEC FinCEN Leveraged Lending Money Services Business OCC Peer-to-Peer Regulation XX SEC

Financial Services Weekly News Roundup - November 2014

The Day After: There are still a few undecided races but we know that Republicans will control the House and the Senate in the next session of Congress. This may provide an opportunity for more bipartisan legislation in the...more

11/6/2014 - Banks Cross-Border Dodd-Frank EU IRS OCC SEC SIFIs SIFMA

Financial Services Weekly News Roundup - October 2014 #5

In this issue: - In preliminarily denying two exemption requests, the SEC takes a stand for market transparency in ETFs and upholds the arbitrage mechanism that allows market prices to closely track NAVs. -...more

10/30/2014 - ABS Administrative Hearings Arbitrage Asset-Backed Securities Bank Secrecy Act Disclosure Requirements Enforcement Actions ETFs FinCEN FINRA Flood Insurance Flood Zones Money Services Business Municipal Advisers NAV New Regulations Private Equity Funds Proposed Regulation Risk Retention SEC Transparency Virtual Currency

Financial Services Weekly News Roundup - October 2014 #4

Editor’s Note: Bank Regulators Again Looking at Incentive Compensation and Excessive Risks. Federal Reserve Board Governor Daniel Tarullo and New York Federal Reserve President William Dudley spoke on October 20 at a...more

10/23/2014 - Arbitration Arbitrators Banks CFTC CPOs DSIO Enforcement Actions Falsified Documents Federal Reserve FINRA Insider Trading No-Action Relief SEC

Financial Services Weekly News Roundup - October 2014 #3

Editor’s Note - Looking Ahead: December 1 Effective Date for FINRA Consolidated Supervision Rules. The new FINRA Supervision rules, approved by the SEC in December 2013, become effective on December 1, 2014. The new...more

10/21/2014 - Asset-Backed Securities Banks Broker-Dealer DPPs Federal Reserve FINRA ISDA ISDA Master Agreement NASD REITS SEC

Financial Services Weekly News Roundup - October 2014 #2

Spotlight on the MSRB: In the Industry Developments section we report that the SEC, FINRA and the MSRB will be conducting a compliance outreach program for municipal advisors. The Municipal Securities Rulemaking Board was...more

10/9/2014 - CARDS CPOs ETFs FINRA Herballife Insider Trading Investment Adviser Municipal Advisers NFA Pay-To-Play Public Comment SEC

Financial Services Weekly News Roundup - October 2014

Editor’s Note: Spotlight on the Federal Reserve and CSBS 2014 Community Banking Report. On September 24 the Federal Reserve and the Conference of State Bank Supervisors (CSBS) announced the release of their report,...more

10/6/2014 - Banks Compliance CSBS ERISA Financial Regulatory Reform Insider Trading Internal Controls OCC SEC

Financial Services Weekly News Roundup - September 2014 #2

In this Issue: Last week brought news of several enforcement actions by the SEC against investment advisers on a number of issues: Rule 105 of Regulation M, improper withdrawals characterized as management fees, violation of...more

9/25/2014 - Enforcement Enforcement Actions FINRA Regulation M SEC Securities Exchange Act

Financial Services Weekly News Roundup - September 2014

In This Issue: The CFTC provided long-awaited exemptive relief for commodity pool operators that wish to offer their funds in private offerings using general solicitation under Rule 506(c) of the SEC’s Regulation D. ...more

9/18/2014 - CFTC Commodity Pool Compliance CPO Dodd-Frank Enforcement Enforcement Actions OCIE Private Offerings Regulation D Rule 506(c) SEC Securities Act of 1933 Swap Dealers Swaps

SEC Approval of Amendments to FINRA Corporate Financing Rules Will Reduce Burdens on Parties in Public Offerings

The SEC recently approved amendments to simplify and refine the scope of FINRA corporate financing and underwriter conflicts of interest rules. The amendments include modifications that will affect not only underwriters and...more

6/19/2014 - Compliance Conflicts of Interest Corporate Financing Corporate Financing Rule FINRA Public Offerings SEC Underwriting

SEC Provides Relief for Private Company M&A Brokers

On Jan. 31, 2014, the SEC issued a no-action letter that permits private company M&A brokers to avoid registration with the SEC as broker-dealers under certain circumstances. However, business brokers should understand that...more

3/13/2014 - Brokers No-Action Letters SEC

What Banks and Trust Companies Need to Know About the SEC’s New Municipal Advisor Rules

The SEC’s final Municipal Advisor Rules, effective January 13, 2014, apply to many of the advisory services and products provided by banks and trust companies to municipal entities, such as state and local governments, and to...more

11/26/2013 - Banks Municipal Advisers SEC Trusts

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