Dodd Frank
February 15, 2011 • Vol 14 No 27

IN THIS ISSUE:

  1. DOL Delays Effective Date for Interim Final Regulation Regarding Service Provider Fee Disclosure
  2. Goodwin Procter Issues Public Company Advisory on SEC’s Say on Pay Rules
  3. FDIC Adopts Amendments to Deposit Insurance Assessment Regulations
  4. FRB Issues Proposed Rule Regarding the Designation of Systemically Important Nonbank Financial Companies
  5. SEC Settles Administrative Proceedings Based on Improper IPO Allocations by Investment Adviser
  6. FDIC Board of Directors Approves Proposed Rule on Incentive-Based Compensation
  7. SEC Settles with Broker-Dealer over Failure to Supervise Registered Representatives to Prevent Securities Act Violations In Connection with Offer and Sale of Mutual Fund Shares
  8. FDIC Proposes Rule to Improve Public Awareness of Deposit Insurance Limits
  9. Investment Adviser and Affiliates Settle Securities Charges Over Concealment of Significant Programming Error in Investment Model
  10. 10th Circuit Affirms District Court Analysis of Broker-Dealer Exemption under Advisers Act as Applied to Broker-Dealer Affiliate of Insurance Company Selling Variable Insurance Product
  11. Agencies Propose Rules to Conform Reporting Requirements of OTS-Regulated Savings Associations and Loan Holding Companies with those of FDIC- and FRB-Regulated Institutions
  12. SEC Proposes Registration of Security-Based Swap Execution Facilities
  13. CFTC Issues Rule Proposal for Swap Trading Relationship Documentation Requirements for Swap Dealers and Major Swap Participants
  14. CFTC Proposes Orderly Liquidation Termination Provision in Swap Trading Relationship Documentation for Swap Dealers and Major Swap Participants
  15. CFTC Issues Rule Proposal Regarding Commodity Options and Agricultural Swaps
  16. SEC Proposes Condition Regarding Prior Issuances to Replace Investment Grade Credit Rating Requirement in Determining Form S-3 and Form F-3 Eligibility
Goodwin Procter Issues Public Company Advisory on SEC’s Say on Pay Rules
Goodwin Procter issued a Public Company Advisory that analyzes the SEC’s “say on pay” rules governing shareholder advisory votes on various executive compensation matters required under the Dodd-Frank.

© 2013 Goodwin Procter LLP. All rights reserved. This informational piece, which may be considered advertising under the ethical rules of certain jurisdictions, is provided with the understanding that it does not constitute the rendering of legal advice or other professional advice by Goodwin Procter LLP, Goodwin Procter (UK) LLP or their attorneys. Prior results do not guarantee similar outcome.

Goodwin Procter LLP is a limited liability partnership which operates in the United States and has a principal law office located at 53 State Street, Boston, MA 02109. Goodwin Procter (UK) LLP is a separate limited liability partnership registered in England and Wales with registered number OC362294. Its registered office is at Tower 42, 25 Old Broad Street, London EC2N 1HQ. A list of the names of the members of Goodwin Procter (UK) LLP is available for inspection at the registered office. Goodwin Procter (UK) LLP is authorized and regulated by the Solicitors Regulation Authority.

IRS Circular 230 Disclosure: To ensure compliance with requirements imposed by the IRS, we inform you that any U.S. tax advice contained in this informational piece (including any attachments) is not intended or written to be used, and may not be used, for the purpose of (i) avoiding penalties under the Internal Revenue Code or (ii) promoting, marketing or recommending to another party any transaction or matter addressed herein.

People
Offices
Our Firm
News
Events
Publications
Careers
Related Sites
Practices