Bingham McCutchen LLP Boston, MA Document Search Results (35)
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|Andrew Ceresney: 2014 Enforcement Accomplishments and Priorities Relating to Financial Services Firms|
Amy Natterson Kroll, Elizabeth A. Marino; Bingham McCutchen LLP;
July 14, 2014, previously published on June 17, 2014Andrew 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...
|FINRA Provides Dark Pool Trading Data|
Russell M. Fecteau, Elizabeth A. Marino; Bingham McCutchen LLP;
June 17, 2014, previously published on June 11, 2014On 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,...
|Five Takeaways About Cybersecurity From the OCIE Cybersecurity Risk Alert|
Laura E. Flores, Jason E. Glass, Michael R. Weissmann; Bingham McCutchen LLP;
April 25, 2014, previously published on April 21, 2014On 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...
|CFTC Regulation 1.35 Recordkeeping Requirements Set to Become Effective on May 1, 2014|
Daniel N. Budofsky; Bingham McCutchen LLP;
April 16, 2014, previously published on April 11, 2014On 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...
|FINRA 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;
April 11, 2014, previously published on April 9, 2014On 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...
|Sarbanes-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;
March 11, 2014, previously published on March 7, 2014In 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...
|Timeline for FATCA Compliance for Japan-Based Investment Managers and Funds|
Bingham McCutchen LLP;
March 6, 2014, previously published on February 26, 2014The 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,...
|New and Recent Notice and Leave Requirements for NY and NJ Employers|
Jenny K. Cooper, Alicia M. Reed, Douglas T. Schwarz; Bingham McCutchen LLP;
February 14, 2014, previously published on February 12, 2014New York and New Jersey employers have an increasing number of required notices to distribute to their employees. With upcoming due dates for distribution notices under the New York City Pregnancy Accommodation and Earned Sick Time Laws, we review below the notice requirements in New York and New...
|Summary of FCC Order Calling for IP Technology Transition Trial Proposals|
Bingham McCutchen LLP;
February 12, 2014, previously published on February 3, 2014On Friday January 31, the FCC released an Order, a Notice of Proposed Rulemaking, and Notice of Inquiry regarding Technology Transition Trials. These trials are not designed to test technology but to test how the FCC’s core “values underlying operation of today’s networks can be...
|SEC Issues No-Action Letter Regarding Broker-Dealer Registration Status of M&A Brokers|
Amy Natterson Kroll, Elizabeth A. Marino, Michael R. Weissmann; Bingham McCutchen LLP;
February 11, 2014, previously published on February 10, 2014On January 31, 2014, staff of the Securities and Exchange Commission’s (“Commission”) Division of Trading and Markets (“Staff”) issued a long-awaited no-action letter permitting certain merger and acquisition brokers (“M&A Brokers”) to “effect...