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Date Title / Appeared In
05.15.12 Financial Services Alert - May 15, 2012
05.08.12 Financial Services Alert - May 8, 2012
Quarterly Review
05.01.12 Financial Services Alert - May 1, 2012
04.24.12 Financial Services Alert - April 24, 2012
  • FRB Clarifies Volcker Rule Conformance Period
  • Third Circuit Affirms Dismissal of Excessive Fee Claims Under the Investment Company Act Because Plaintiffs Lacked Continuous Ownership in the Funds and No Private Right of Action Exists Under Section 47(b)
  • SEC Approves FINRA Proposal to Consolidate and Amend NASD and NYSE Communications Rules and Interpretations
more...
04.17.12 Financial Services Alert - April 17, 2012
  • Massachusetts Department of Revenue Issues Revised, More Liberal, Draft Guidance on the Pledge of Security Corporation Stock
  • JOBS Act Changes Also Affect Private Funds
  • U.S. Court of Appeals for Fourth Circuit Revives Class Action Allowing Claims Under Maryland’s Repossession Statute and Rejecting Federal Preemption Argument
more...
04.10.12 Financial Services Alert - April 10, 2012
  • Financial Stability Oversight Council Issues Final Rule Regarding Designation of Systemically Important Nonbank Financial Companies
  • SEC Reopens Comment Period on Proposed Target Date Fund Disclosure Requirements
  • FinCEN Issues Advisory Concerning Tax Refund Fraud and Related Identity Theft
more...
04.03.12 Financial Services Alert - April 3, 2012
  • Federal Banking Agencies Propose Changes in Leveraged Finance Guidance
  • Eighth Circuit Applies Harris Associates in Affirming District Court’s Dismissal of Mutual Fund Excessive Fee Case
  • OCC Issues Interpretive Letter Concluding that a Capital Maintenance Agreement is a Formal Enforcement Order that Limits the Conversion Rights of a Federal Savings Association under Section 612(c) of the Dodd-Frank Act
more...
03.27.12 Financial Services Alert - March 27, 2012
  • Proposed Legislation Would Delay Volcker Rule Effective Date
  • SEC Staff Provides Further Guidance to Exempt Reporting Advisers on Reporting Special Purpose Entities in Form ADV
  • FDIC Issues Financial Institution Letter Advising Bank Directors and Officers that Copying and Removing Confidential Financial Institution Records is Breach of their Fiduciary Duty to the Financial Institution and is an Unsafe and Unsound Banking Practice
more...
03.20.12 Financial Services Alert - March 20, 2012
  • FINRA Files Proposed Amendments Relating to Adoption of New Standardized Electronic Continuing Membership Application Form
  • SEC Staff Provides Guidance to Exempt Reporting Advisers on Reporting Special Purpose Entities in Form ADV
  • FinCEN Issues Guidance Clarifying when Currency Transactions of Businesses with Common Ownership Should Be Aggregated for the Purposes of Currency Transaction Reports
more...
03.13.12 Financial Services Alert - March 13, 2012
  • CFTC Issues Final Rules on Risk Management and Conflicts of Interest and Proposes Rule on Minimum Block Trades
  • SEC Releases Results of Study of Investor Comprehension of Target Date Fund Disclosure
  • FRB Issues Guidance Concerning What a Banking Organization with $10 Billion or Less in Assets Needs to Do to See Its Supervisory Ratings Upgraded
more...
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