Goodwin Procter LLP

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Boston, MA 02109, United States

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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 of…more
| Civil Procedure, Commercial Law & Contracts, Finance & Banking, International Law & Trade, Securities Law

Federal Reserve Extends Volcker Rule Conformance Period for Covered Funds Activities for One Year

The Board of Governors of the Federal Reserve System announced yesterday afternoon that it has extended the conformance period under the Volcker rule for one additional year—until July 21, 2016—to allow banking entities to…more
| Finance & Banking

Impact of the Alice V. CLS Bank Decision – A Year-End Review

The Supreme Court’s Alice Corp. v. CLS Bank Int’l decision has had a significant impact on the prosecution of software-based patent applications, on the institution of 101-based covered business method patent reviews, and on…more
| Civil Procedure, Intellectual Property, Science, Computers, & Technology

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
| Commercial Law & Contracts, Finance & Banking, Securities Law

Sixth Circuit Upholds Venue Selection Clause in Pension Plan

The U.S. Court of Appeals for the Sixth Circuit upheld a pension plan’s venue selection clause and affirmed dismissal of the participant’s claims for benefits on the ground that such claims were not filed in the authorized…more
| Civil Procedure, Commercial Law & Contracts, Labor & Employment Law, Finance & Banking, Business Torts

Ninth Circuit Applies Fifth Third v. Dudenhoeffer to Reverse Dismissal of Stock Drop Case

Speed Read - The Ninth Circuit becomes the first appellate court to interpret the Supreme Court’s Fifth Third v. Dudenhoeffer holding. In its ruling, the Ninth Circuit held that participants can maintain a claim alleging…more
| Civil Procedure, Labor & Employment Law, Finance & Banking, Business Torts, Securities Law

Insurer Agrees to $140 Million Settlement in ERISA Case Challenging Revenue Sharing Practices

Nationwide Life Insurance Co. has agreed to settle ERISA fiduciary breach claims brought on behalf of a class of retirement plan trustees that purchased annuity contracts and/or services from Nationwide for their plans…more
| Civil Procedure, Labor & Employment Law, Finance & Banking, Business Torts, Insurance

Federal District Court Dismisses “100% Equity Strategy” Claims on Statute of Limitations Grounds

A federal district court held that participants in a defined benefit plan had standing to challenge plan fiduciaries’ strategy of investing 100% of the plan’s assets in equities, but dismissed those claims based on ERISA’s…more
| Civil Procedure, Constitutional Law, Labor & Employment Law, Finance & Banking

Supreme Court to Decide Whether License Agreements May Require Payment of Royalties After Patent Expiration

The U.S. Supreme Court Friday agreed to revisit a longstanding precedent that bars patent owners from collecting royalties after their patents have expired, even if those post-expiration payments represent compensation for…more
| Civil Procedure, Civil Remedies, Commercial Law & Contracts, Intellectual Property

Fund Sponsor Entities With San Francisco Activities May See Significant Tax Increases Under Gross Receipts Tax

San Francisco’s gross receipts tax (GRT) began phasing in this year and will be fully implemented in 2018. While the tax rates are lower than those under the previous payroll tax system, the GRT may lead to higher taxes for some…more
| Commercial Law & Contracts, Finance & Banking, Taxation

Second Circuit Raises the Bar for Government Insider Trading Prosecutions – Practical Implications for the Business Community

On December 10, 2014, the U.S. Court of Appeals for the Second Circuit issued a much publicized decision, reversing two high-profile insider trading convictions in the Southern District of New York. The Court limits the scope of…more
| Commercial Law & Contracts, Criminal Law, Finance & Banking, Securities Law

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
| Finance & Banking, Securities Law

Supreme Court Grants Cert in a Patent Case to Address Whether a Good Faith Belief in the Invalidity of a Patent is a Defense to a Charge of Inducing Infringement

The Supreme Court today agreed to decide an important question of inducement liability under the Patent Act: whether a defendant accused of inducing infringement may defend on the ground that it believed in good faith that the…more
| Civil Procedure, Intellectual Property

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
| Commercial Law & Contracts, Finance & Banking, Securities Law

Delaware Court Invalidates Release and Indemnification Obligations Against a Selling Stockholder in a Merger Transaction

The Delaware Chancery Court recently invalidated a buyer’s attempt to obtain a release and indemnification obligations from selling stockholders of a Delaware corporation that was acquired in a merger. The ruling will require…more
| Civil Procedure, Commercial Law & Contracts, Mergers & Acquisitions, Securities Law
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