Publications

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Date Title / Appeared In
02.21.12 Financial Services Alert - February 21, 2012
  • IRS and Treasury Department Issue Highly-Anticipated FATCA Proposed Regulations
  • FinCEN Extends FBAR Filing Deadline Until June 30, 2013 for Certain Financial Professionals
  • Massachusetts Adopts Changes to Investment Adviser Registration Exemptions

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02.14.12 Financial Services Alert - February 14, 2012
  • First Circuit Limits SOX Whistleblower Coverage to Employees of Public Companies
  • Federal Banking Agencies Update Guidance Concerning Allowance for Loan and Lease Losses
  • CFTC Rescinds QEP Exemption from Commodity Pool Operator Registration

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02.10.12 Video Client Alert - February 10, 2012

Venture Capital Fund Exemption from Advisers Act Registration

02.07.12 Financial Services Alert - February 7, 2012

Quarterly Review

02.07.12 Consumer Financial Services Alert - February 7, 2012
01.31.12 Financial Services Alert - January 31, 2012
  • GAO Releases Study Required by Dodd-Frank Act on Implications of Removing Exemption from Definition of “Bank” in BHCA
  • FINRA Files Partial Amendment No. 1 to Proposed Rule 5123 Governing Private Placements of Securities by Member Firms
  • FINRA Issues Guidance on Heightened Supervision of Complex Products

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01.27.12 Goodwin Procter Alert - January 27, 2012

FTC Adjusts HSR and Clayton Act Reporting Thresholds

01.24.12 Goodwin Procter Alert - January 24, 2012

Deadline Approaching for Reporting 2011 ISO Exercises and ESPP Transfers

01.24.12 Financial Services Alert - January 24, 2012
  • SEC Staff Provides Advisers Act Guidance on Umbrella Registration and on GPs and Other Special Purpose Entities
  • FDIC Proposes Rule Requiring Annual Stress Tests of State Nonmember Banks and FDIC-Supervised State Savings Associations with More Than $10 Billion in Assets
  • FDIC Board Approves Final Rule Requiring Insured Depository Institutions with $50 Billion or More of Total Assets to Submit Resolution Plans to FDIC

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01.17.12 Financial Services Alert - January 17, 2012
  • SEC Staff Grants No-Action Relief with Respect to Purchase by Mutual Funds of Loan Participations
  • Banking Agencies Issue Frequently Asked Questions Concerning Interest Rate Risk Management
  • CFTC Approves Final Collateral Segregation Rule

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