Regulatory Developments -
CFPB Outlines Guiding Principles for Faster Payment Networks:
On July 9, the CFPB released an outline of its guiding Consumer Protection Principles (Principles) for protecting consumers as...more
7/16/2015
/ BrokerCheck ,
CFTC ,
Comment Period ,
Consumer Financial Protection Bureau (CFPB) ,
Cross-Border Transactions ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement ,
Federal Register ,
Financial Industry Regulatory Authority (FINRA) ,
Fund of Funds ,
Investment Company Act of 1940 ,
New Regulations ,
No-Action Letters ,
Payment Systems ,
Proposed Regulation ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Tibble v Edison Int
Regulatory Developments -
Client Alert: SEC Proposes Pay for Performance Rules:
Goodwin Procter’s Capital Markets practice has issued a Client Alert on the SEC’s proposed rule that would require most public...more
6/25/2015
/ Board of Directors ,
Broker-Dealer ,
Cybersecurity ,
Data Protection ,
Distributed Denial of Service ,
Dodd-Frank ,
Enforcement ,
Enforcement Actions ,
Executive Compensation ,
Financial Industry Regulatory Authority (FINRA) ,
Flood Insurance ,
Investment Adviser ,
Lenders ,
Morgan Stanley ,
Municipal Bonds ,
OCIE ,
Proxy Statements ,
Publicly-Traded Companies ,
Securities and Exchange Commission (SEC) ,
Security-Based Swaps ,
Swaps
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 ,
Employee Retirement Income Security Act (ERISA) ,
Enforcement ,
Enforcement Actions ,
Fiduciary Duty ,
Financial Industry Regulatory Authority (FINRA) ,
Financial Institutions ,
Insurance Industry ,
Investment Adviser ,
Investment Company Act of 1940 ,
Money Market Funds ,
Municipal Advisers ,
Ontario Securities Commission (OSC) ,
Petition for Writ of Certiorari ,
SCOTUS ,
Securities and Exchange Commission (SEC) ,
Trustees
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
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) ,
Securities Act of 1933 ,
Securities and Exchange Commission (SEC) ,
Swap Dealers ,
Swaps