Goodwin Procter has one of the largest financial services practices in the United States. We publish the weekly Financial Services Alert to inform our clients and other financial services institutions about news of importance to the industry. Some issues of the Alert summarize significant recent developments in financial services law and regulation. Other issues provide more in-depth analysis about specific areas of financial services law. We hope you find the Financial Services Alert helpful, and we welcome your suggestions for future topics of interest.
Financial Services Alert - November 18, 2008 (PDF)
11.18.08
- SEC to Consider Adopting Mutual Fund Summary Prospectus Proposal at November 19 Open Meeting
- OFAC Issues Guidance for the Securities Industry
- OFAC Revokes Authorization to Process “U-turn” Transfers Involving Iran
- Regulation R On Track to Take Effect on January 1, 2009
- SEC’s Office of Compliance Inspections and Examinations Posts Core Initial Information Request for Investment Adviser Examinations
- Plaintiffs in Excessive Fee Suit Against Mutual Fund Adviser Seek Supreme Court Review of Seventh Circuit Decision Rejecting Gartenberg Analysis
- Recent Developments in the Treasury’s Troubled Asset Relief Program
- SEC Staff Provides Guidance on Rule 14a-8 Regarding Shareholder Proposals
- FRB and Treasury Department Issue Final Rule on Funding of Unlawful Internet Gambling
Financial Services Alert - November 11, 2008 (PDF)
11.11.08
Quarterly Review
Financial Services Alert - November 4, 2008 (PDF)
11.04.08
- FinCEN Withdraws Proposed AML Program Rulemaking for Investment Advisers, Commodity Trading Advisers and Unregistered Investment Companies
- IRS Issues Guidance on Treatment of Income and Loss Resulting From Indirect Investments in Fannie Mae and Freddie Mac
- SEC Makes Mandatory Electronic Submission of Applications for Exemptive Relief under Investment Company Act and Filings under Regulation E
- Certain Recent TARP Developments
- Goodwin Procter Provides Audio Recording of Conference it Hosted on Private Equity Investing in Banks