Document(s) published by this organization: 173
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|New Suitability Guidance Provides Insight Into FINRA’s Areas of Focus and Preferences|
Christina N. Davilas, John R. Snyder, Michael R. Weissmann; Bingham McCutchen LLP;
October 9, 2013, previously published on October 8, 2013FINRA’s Regulatory Notice 13-31 — issued on September 25, 2013 — is the fourth in a series of notices FINRA has published on its new suitability rule. In this Notice, FINRA provides guidance on three main topics: it details specific suitability issues FINRA covers in routine...
|A Conversation With David Blass About Broker-Dealer Status Questions|
Margaret R. Blake, Richard A. Goldman, Amy Natterson Kroll; Bingham McCutchen LLP;
October 9, 2013, previously published on October 8, 2013On September 26, 2013, David Blass, chief counsel in the Division of Trading and Markets at the Securities and Exchange Commission (“SEC” or “Commission”), and Bingham partners Amy Kroll and Rich Goldman participated in a Practicing Law Institute (“PLI”) webinar...
|California Governor Jerry Brown Signs Two Bills Addressing Additional Requirements For Personally Identifiable Information|
Courtney E. Smith, James G. Snell; Bingham McCutchen LLP;
October 7, 2013, previously published on October 3, 2013On September 27, 2013, California Governor Jerry Brown signed into law two bills adding additional requirements related to consumers’ personally identifiable information, including online accounts and activities. The first bill, Assembly Bill 370, which adds transparency provisions to the...
|China Issues New Rules for Shanghai Free Trade Zone: The Devil Will Be in the Details|
Brian D. Beglin, Christopher Chen, Jin Wang, Xiaowei Ye; Bingham McCutchen LLP;
October 7, 2013, previously published on October 3, 2013On September 27, 2013, the State Council, the government’s top policy-making body, released new rules to govern the Shanghai Pilot Free Trade Zone (the “Zone”). As indicated by the title however, “General Plan for the China (Shanghai) Free Trade Zone” (the...
|Inquiries by the Japan Regulators to Filers under the Article 63 Exemption|
Tomoko Fuminaga, Akihito Miyake, Yoshiyuki Omori, Christopher P. Wells, Koji Yamamoto; Bingham McCutchen Murase Sakai Mimura Aizawa Foreign Law Joint Enterprise;
October 4, 2013, previously published on October 2, 2013The Kanto Local Finance Bureau is currently issuing inquiry notices to entities that have made a filing to operate under the “Exemption for Special Business Activities Directed at Qualified Institutional Investors” (the “Article 63 Exemption”) as set forth under Article 63...
|China Unveils a Blacklist System for Recording Bad Conduct and Foul Play in the Field of Outbound Investment and Foreign Trading|
Brian D. Beglin, Jin Wang, Xiaowei Ye; Bingham McCutchen LLP;
October 4, 2013, previously published on October 1, 2013On September 23, 2013, China’s Ministry of Commerce published a new trial measure jointly issued by it and eight other ministries that aims to collect and publish a list of Chinese and non-Chinese enterprises, organizations and individuals who have committed bad acts or engaged in foul play...
|CFTC Issues Time-Limited No-Action Relief for SEFs and Reporting Counterparties|
Akshay N. Belani, Lihua Chen, Joshua B. Sterling; Bingham McCutchen LLP;
October 4, 2013, previously published on October 1, 2013On September 27, 2013, the CFTC issued three letters providing temporary relief for: (i) temporarily registered swap execution facilities (“SEFs”) from certain swap data reporting requirements; (ii) Reporting Counterparties trading on SEFs from reporting certain swap continuation data...
|FinCEN Issues Guidance on FATF’s Designation of Jurisdictions With AML/CFT Deficiencies|
Christina N. Davilas; Bingham McCutchen LLP;
September 30, 2013, previously published on September 27, 2013On September 17, 2013, the Financial Crimes Enforcement Network (“FinCEN”) published an Advisory concerning recent updates by the Financial Action Task Force (“FATF”) to its designation of jurisdictions with strategic anti-money laundering/counter-terrorist financing...
|Controversy Over EU ETS Regarding International Flights may Find Resolution at ICAO — But the Devil is in the Details|
Bingham McCutchen LLP;
September 27, 2013, previously published on September 23, 2013The International Civil Aviation Organization (ICAO) is poised to adopt a resolution that could resolve the controversy over the application of the EU Emissions Trading System (ETS) to international flights by deciding to develop a global market-based measure (MBM) for aviation emissions. Even if...
|A Divided SEC Proposes CEO Pay Ratio Disclosure Rules|
Laurie A. Cerveny, Liz Larcano; Bingham McCutchen LLP;
September 27, 2013, previously published on September 23, 2013On September 18, 2013, a divided SEC voted 3-2 to propose rules requiring U.S. public companies to disclose the ratio of the annual total compensation of the CEO to the median annual total compensation of all employees, better known as “pay ratio” disclosure. The Staff considered nearly...