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Bingham McCutchen LLP Boston, MA Document Search Results (34)

 

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HTMLSecond Circuit Defines ‘Customer’ Under FINRA Arbitration Rules
David C. Boch, Michael C. Moran; Bingham McCutchen LLP;
Legal Alert/Article
August 22, 2014, previously published on August 15, 2014
The U.S. Court of Appeals for the Second Circuit has provided a measure of clarity in limiting the definition of a “customer” who may bring a FINRA arbitration under FINRA Rule 12200. The decision is significant for those member firms that provide a broad array of financial services...

 

HTMLAnti-Money Laundering Customer Due Diligence
K. Michael Carlton, Barry N. Hurwitz, Andrew B. Kales, W. John McGuire, Carl A. Valenstein; Bingham McCutchen LLP;
Legal Alert/Article
August 11, 2014, previously published on August 8, 2014
On July 30, 2014, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) issued proposed regulations seeking to clarify and strengthen the customer due diligence obligations of certain types of financial institutions aimed at preventing money laundering in the...

 

HTMLDelaware Supreme Court Allows Plaintiff Shareholders to ‘Invade’ Corporation’s Attorney-Client Privilege for Good Cause
Michael D. Blanchard, Christopher M. Wasil, P. Sabin Willett; Bingham McCutchen LLP;
Legal Alert/Article
August 8, 2014, previously published on August 1, 2014
Over forty years ago, in Garner v. Wofinbarger, 430 F.2d 1039 (5th Cir. 1970), the Fifth Circuit held that, with a showing of good cause, a shareholder investigating potential fiduciary breaches could overcome the attorney-client privilege for internal corporate documents. In Delaware, several...

 

HTMLSEC Adopts Money Market Fund Reforms
Lea Anne Copenhefer, Barry N. Hurwitz, Roger P. Joseph, Christopher D. Menconi, Mari Wilson; Bingham McCutchen LLP;
Legal Alert/Article
August 2, 2014, previously published on July 23, 2014
The U.S. Securities and Exchange Commission voted 3-2 today to adopt significant changes to the regulation of money market funds in an effort to minimize the potential for a systemic “run” on money market funds like the one experienced in 2008.

 

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...

 

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...

 

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...

 


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