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Bingham McCutchen LLP Boston, MA Document Search Results (36)

 

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HTMLSEC Brings First Whistleblower Anti-Retaliation Claim Under the Dodd-Frank Act
Matthew T. Bohenek, Steven W. Hansen; Bingham McCutchen LLP;
Legal Alert/Article
July 25, 2014, previously published on July 10, 2014
Dealing with a whistleblower who remains an employee after going to the Government has always been something like traversing a mine field. When the Securities and Exchange Commission (“SEC”) adopted Rule 21F-2, defining a “whistleblower” and making a violation of the...

 

HTMLSEC Staff Issues Proxy Voting Guidance
Abigail Bertumen, Lea Anne Copenhefer, Barry N. Hurwitz, Christopher D. Menconi; Bingham McCutchen LLP;
Legal Alert/Article
July 25, 2014, previously published on July 11, 2014
Just before the July 4th holiday, the SEC’s Division of Investment Management and Division of Corporate Finance issued guidance on proxy voting. The guidance, which is a staff bulletin in the form of a Q&A, is the next chapter in an ongoing discussion about how investment advisers satisfy...

 

HTMLSEC Orders a Pilot Program on Tick Sizes to Study Trading Behavior
Russell M. Fecteau; Bingham McCutchen LLP;
Legal Alert/Article
July 25, 2014, previously published on July 15, 2014
On June 24, 2014, the Securities and Exchange Commission (SEC) ordered national stock exchanges and the Financial Industry Regulatory Authority (FINRA) to craft a yearlong pilot program that requires specific stocks (“Pilot Securities”) to trade in five-cent increments rather than...

 

HTMLAndrew Ceresney: 2014 Enforcement Accomplishments and Priorities Relating to Financial Services Firms
Amy Natterson Kroll, Elizabeth A. Marino; Bingham McCutchen LLP;
Legal Alert/Article
July 14, 2014, previously published on June 17, 2014
Andrew Ceresney, Director, Division of Enforcement (the “Division”), Securities and Exchange Commission (“Commission”), recently spoke at Compliance Week 2014 regarding the Division’s accomplishments over the past year and its priorities for the remainder of 2014.1 Of...

 

HTMLFINRA Provides Dark Pool Trading Data
Russell M. Fecteau, Elizabeth A. Marino; Bingham McCutchen LLP;
Legal Alert/Article
June 17, 2014, previously published on June 11, 2014
On June 2, 2014, and pursuant to FINRA Rule 4552, the Financial Industry Regulatory Authority Inc. (“FINRA”) began publishing trading data attributable to alternative trading systems (“ATSs”), inclusive of trading data from “dark pools.” According to FINRA,...

 

HTMLFive Takeaways About Cybersecurity From the OCIE Cybersecurity Risk Alert
Laura E. Flores, Jason E. Glass, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article
April 25, 2014, previously published on April 21, 2014
On April 15, 2014, SEC’s Office of Compliance Inspections and Examinations (OCIE) issued a Risk Alert describing an initiative it is currently undertaking to assess cybersecurity preparedness in the securities industry. The Risk Alert includes a seven page appendix with 28...

 

HTMLCFTC Regulation 1.35 Recordkeeping Requirements Set to Become Effective on May 1, 2014
Daniel N. Budofsky; Bingham McCutchen LLP;
Legal Alert/Article
April 16, 2014, previously published on April 11, 2014
On May 1, 2014, no-action relief from compliance with U.S. Commodity Futures Trading Commission (“CFTC”) Regulation 1.35 will come to an end. With the expiration of this no-action period, certain market participants will be subject to substantial recordkeeping requirements, including...

 

HTMLFINRA Initiates Retrospective Rule Review Heavy on Process, Vague on End Game
Margaret R. Blake, Amy Natterson Kroll, Gail Marshall, Michael R. Weissmann; Bingham McCutchen LLP;
Legal Alert/Article
April 11, 2014, previously published on April 9, 2014
On April 8, 2014, FINRA published two regulatory notices (“Regulatory Notices”) kicking off its much discussed retrospective review of significant rulemaking. According to FINRA, the purpose of the retrospective review is to determine whether specific rules are meeting their...

 

HTMLSarbanes-Oxley Whistleblower Protection Extends to Employees of Private Companies Acting as Contractors or Subcontractors of Public Companies
John F. Adkins, Douglas T. Schwarz; Bingham McCutchen LLP;
Legal Alert/Article
March 11, 2014, previously published on March 7, 2014
In a decision that vastly expands the number of companies subject to legal claims for retaliation against internal or external whistleblowers, the U. S. Supreme Court has ruled by a 6-3 vote that the whistleblower protections of the Sarbanes-Oxley Act extend to employees of privately held...

 

HTMLTimeline for FATCA Compliance for Japan-Based Investment Managers and Funds
Bingham McCutchen LLP;
Legal Alert/Article
March 6, 2014, previously published on February 26, 2014
The U.S. Internal Revenue Service (“IRS”) and U.S. Department of Treasury (“Treasury”) released a comprehensive set of final regulations relating to the implementation of the Foreign Account Tax Compliance Act (“FATCA”) last winter. Moreover, on June 11, 2013,...

 


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