Goodwin Procter LLP

Exchange Place 53 State Street
Boston, MA 02109, United States

  • 617.570.1000
  • 617.523.1231

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
| Bankruptcy, Commercial Law & Contracts, Finance & Banking, Mergers & Acquisitions, Securities Law

Business Litigation Reporter -- October 2014

California - Browsewrap Arbitration Agreement Not Enforced Against Individual Consumer. In Nguyen v. Barnes & Noble Inc., 2014 WL 4056549 (9th Cir. Aug. 18, 2014), the Ninth Circuit affirmed the denial of B&N’s motion to…more
| Civil Procedure, Commercial Law & Contracts, Consumer Protection, Science, Computers, & Technology, Securities Law

Second Circuit Fails to See the Comity in Chapter 15

In Krys v. Farnum Place, the Second Circuit ruled that, in a Chapter 15 ancillary proceeding, a SIPA claim is within the territorial jurisdiction of the United States and its sale by the Foreign Representative must be…more
| Bankruptcy, Civil Procedure, Commercial Law & Contracts, Finance & Banking, International Law & Trade

Responding to Stockholder Inspection Demands Under Delaware Code § 220

Delaware Code § 220 gives stockholders the right to inspect a corporation’s books and records, but that right is subject to certain important limitations that have developed in the Delaware caselaw. When a corporation is served…more
| Commercial Law & Contracts, Securities Law

Software Companies Now on Notice That Encryption Exports May Be Treated More Seriously: $750,000 Fine Against Intel Subsidiary

The Bureau of Industry and Security (BIS) recently issued a $750,000 fine against an Intel subsidiary for the unlawful exportation of software products that enable encryption. This is a sharp departure from BIS’s historical…more
| Commercial Law & Contracts, International Law & Trade, Science, Computers, & Technology

Firm’s collection letter violated Fair Debt Act

A North Attleborough law firm violated the Fair Debt Collection Practices Act when it sent a collection letter which included implied threats to sue that could have confused the debtor as to her statutory right to dispute the…more
| Consumer Protection, Law Practice Products & Services

DOL Issues Final Rule Revising Federal Contractors’ Reporting of Veteran-Related Employment and Hiring Statistics

The U.S. Department of Labor’s Veterans’ Employment and Training Service recently issued a Final Rule that revises reporting obligations to include aggregated veteran-related employment and hiring statistics, but excludes other…more
| Labor & Employment Law, Military Law, Government Contracting

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

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
| Finance & Banking, International Law & Trade, Securities Law

Fourth Circuit Places Burden on Defendants to Disprove Loss Causation in Fiduciary Breach Cases

In Tatum v. RJR Pension Investment Committee, No. 13-1360 (August 4, 2014), a divided panel of the U.S. Court of Appeals for the Fourth Circuit held that, if the plaintiff in an ERISA fiduciary breach case proves that the…more
| Civil Procedure, Commercial Law & Contracts, Labor & Employment Law, Finance & Banking, Securities Law

First Circuit Rules for Insurers in Two Retained Asset Account Cases; An Insurer Does not Need “to Don the Commercial Equivalent of Sackcloth and Ashes”

The First Circuit recently decided two ERISA cases challenging the use of retained asset accounts in favor of the insurer-defendants. The decisions are Merrimon v. Unum Life Ins. Co. of Am., 758 F.3d 46, 50 (1st Cir. 2014) and…more
| Civil Procedure, Labor & Employment Law, Finance & Banking, Business Torts, Insurance

Supreme Court Urged to Consider Excessive Fee Case

The Supreme Court will soon announce whether it will address the scope of ERISA’s six-year statute of repose when applied to a claim that investments selected more than six years before suit commenced were imprudent due to…more
| Civil Procedure, Labor & Employment Law, Finance & Banking, Business Torts, Securities Law

Third Circuit Affirms Dismissal of Excessive Fee Claims Against Insurer

The Third Circuit has affirmed dismissal of all claims against the insurer in a 401(k) excessive fee suit, rejecting arguments that the insurer is an ERISA fiduciary for its product's fees, even where the service provider has…more
| Civil Procedure, Labor & Employment Law, Finance & Banking, Insurance

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

SEC Charges Officers, Directors, Stockholders and Companies for Failure to Timely File Reports Under Sections 13 and 16 of the Exchange Act

The director of the SEC’s Division of Enforcement, Andrew Ceresney, said that using quantitative analytics the SEC has identified various individuals and companies with especially high rates of filing deficiencies and emphasized…more
| Commercial Law & Contracts, Finance & Banking, Securities Law
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