| November 12, 2013 |
| OCC Issues Updated Risk Management Guidance Concerning Third-Party Relationships |
| CFTC Approves Final Rules Enhancing Protections Afforded Customers and Customer Funds Held by Futures Commission Merchants |
| CFTC Issues Revised Position Limits Rule Proposal and Proposes Related Aggregation Standards |
| CFTC Announces Mutual Acceptance of Approved Legal Entity Identifiers |
| FDIC and International Regulators Ask ISDA to Add Early Termination Delay to ISDA Documents |
| CFTC Proposes Rule to Require All Registered Introducing Brokers, Commodity Pool Operators, and Commodity Trading Advisors to be Members of a Registered Futures Association |
| Goodwin Procter Employee Benefits Update: IRS Modifies “Use-It-Or-Lose-It” Rule for FSAs and IRS and SSA Announce 2014 Dollar Limits |
| Independent Directors Council Issues Report on Performance Oversight by Fund Boards |
| SEC To Hold Roundtable On Proxy Advisors |
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| November 19, 2013 |
| Second Circuit Rules for Mutual Fund Trustees in Suit Alleging Breach of Fiduciary Duty in Approving Successor Advisory Contracts Following Sale of Fund Adviser |
| OCC Issues Guidance and Establishes Standards Regarding Banks’ Usage of Independent Consultants in Connection with Compliance with Enforcement Actions |
| NFA Requires Notice Filing from Registered Fund CPOs Reporting on a Consolidated Basis for Registered Fund Pools and Their Wholly-Owned CFC Subsidiaries under CFTC Relief No-Action Relief |
| SEC Staff Scrutinizing Registered Fund Names That Suggest Loss Protection |
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| November 26, 2013 |
| Goodwin Procter Alert: What Banks and Trust Companies Need to Know About the SEC’s New Municipal Advisor Rules |
| SEC Settles with Adviser Over Discretionary Valuation Practices and Lack of Cross Trade Procedures |
| Federal Banking Regulators Provide Community Banks with Regulatory Capital Estimation Tool |
| FDIC, FRB and OCC Issue Joint Final Revisions to Interagency Q&As Regarding Community Reinvestment |
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| December 3, 2013 |
| Financial Stability Board Issues Final Guidelines Regarding Development of a Risk Management Framework and Proposed Guidelines on Supervision of a Financial Institution’s Risk Culture |
| Private Fund Adviser Receives Exemptive Relief from Two-Year Compensation Ban under Pay-to-Play Rule Triggered by Contribution to State Official’s Campaign for Federal Office |
| Massachusetts Securities Division Issues Policy Statement on Custody Requirements for Massachusetts-Registered Advisers in Relation to Trusteeships and Fee Deduction |
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| December 10, 2013 |
| Federal Regulatory Agencies Issue Final Rule Implementing Volcker Rule |
| FinCEN and FRB Jointly Issue Final Rule Amending the Definitions of “Funds Transfer” and “Transmittal of Funds” |
| FRB Seeks Comment on Multiple Changes to its Policy on Payment System Risk |
| SEC Charges Adviser and Portfolio Manager with Misrepresentations to Money Market Fund Board and Rule 2a-7 Violations |
| SEC Staff Issues New Guidance on Rule 506 Bad Actor Disqualification |
| NFA Issues Guidance on Annual Affirmation Requirement for Entities Operating Under An Exemption or Exclusion from CPO or CTA Registration |
| CFTC Faces Court Challenge to Cross-Border Guidance |
| SEC Approves Limited Exception to Anti-Spinning Provision of FINRA Rule 5131 |
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| December 17, 2013 |
| Covered Funds Aspects of the Volcker Rule – Frequently Asked Questions |
| FRB Issues Guidance on Managing Risks from the Use of Third Party Service Providers |
| FFIEC Issues Guidance Concerning Applicability of Federal Consumer Protection and Compliance Laws, Regulations and Policies to Activities Conducted Via Social Media |
| Goodwin Procter Alert: SEC Provides Guidance on Exemption for Advisers to Venture Capital Funds |
| New ERISA Litigation Update Available |
| Federal Insurance Office Issues Report on Modernization, Improvement of Insurance Regulation |
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| December 23, 2013 |
| SEC Settles Administrative Proceedings Against London-Based Hedge Fund Adviser and its Parent over Internal Control Failures and Misstatements in the Parent’s Financial Reports Resulting from the Adviser’s Faulty Valuation Practices |
| SEC Settles Administrative Proceedings Against CDO Sponsor and Collateral Manager Over Influence of Hedge Fund Firm on Collateral Selection |
| Banking Regulators Say That Volcker Rule Does Not Require Immediate Sale of Collateralized Debt Obligations Backed by Trust Preferred Securities |
| FRB, FDIC and OCC Propose Addendum to Income Tax Allocation Policy; Agencies Provide Standard Provision to be Included in Tax Allocation Agreements |
| OCC Issues Interpretive Letter Concluding that Bank Investment in Company that Owns Renewable Energy Solar Project is Permissible |
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| December 30, 2013 |
| Proprietary Trading Aspects of the Volcker Rule – Frequently Asked Questions |
| Federal Agencies Reviewing Treatment under Volcker Rule of Collateralized Debt Obligations Backed by TruPS |
| FINRA Settles Administrative Proceedings Against Clearing Broker-Dealer For Failures to Comply with Anti-Money Laundering, Financial Reporting and Supervisory Obligations |
| FRB Issues Proposed Rule that Limits its Emergency Lending Powers in Accordance with Sections 1101 and 1103 of Dodd-Frank Act |
| FRB Adopts Final Rule Clarifying Treatment of Uninsured U.S. Branches and Agencies of Foreign Banks under Swaps Push-Out Provision of Dodd-Frank Act |
| FDIC Releases Technical Assistance Videos Concerning Flood Insurance and Appraisals |
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| January 7, 2014 |
| SEC Adopts Amendments to Remove Certain NRSRO Credit Rating Related References in Rule 5b-3 under the Investment Company Act and Fund Portfolio Holdings Table Requirements |
| SEC Adopts Amendments Removing References to Credit Ratings from Exchange Act Rules Relating to Broker-Dealer Financial Responsibility and Confirmations of Transactions |
| CFTC Allows Non-U.S. Entities to Comply with Home Jurisdiction Swap Requirements in Lieu of Certain U.S. Regulations |
| FDIC Releases Videos Designed to Provide Information to Bank Directors, Officers and Employees Regarding Municipal Securities, the Allowance for Loan and Lease Losses, Troubled Debt Restructuring and Fair Lending |
| FDIC’s Supervisory Insights Includes Article on Interest Rate Risk Management |
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| January 14, 2014 |
| Five Federal Agencies Adopt Interim Rule Providing Relief from the Volcker Rule with Respect to Collateralized Debt Obligations that Hold Trust Preferred Securities |
| JPMorgan Chase & Co. and its Affiliates Agree to Pay the DOJ, OCC and FinCEN an Aggregate of $2.05 Billion to Resolve Violations of the Bank Secrecy Act and Other Matters Related to the Madoff Ponzi Scheme |
| Employee Benefits Update: IRS Releases FAQs on Cafeteria Plan Benefits for Same-Sex Spouses Post-DOMA; U.S. Supreme Court Upholds Enforcement of Plan Document’s Limitations Period for Benefit Claims |
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| January 21, 2014 |
| SEC 2014 Adviser Examination Priorities Include Continuation of Presence Exams and Initiative Targeting Never-Before Examined Advisers |
| SEC Staff Suggests Steps for Fixed Income Fund Advisers to Consider in Addressing Changing Market Conditions |
| SEC Issues Frequently Asked Questions Regarding Municipal Advisor Registration Rules |
| SEC Temporarily Stays Municipal Advisor Registration Rules |
| FINRA Identifies 2014 Examination Priorities |
| FRB Issues ANPR Seeking Public Comment on Physical Commodity Activities Related to Physical Commodities Conducted by Financial Holding Companies |
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| January 28, 2014 |
| SEC Staff Announces 2014 Broker-Dealer Examination Priorities |
| SEC Settles with Portfolio Manager of Private Equity Fund of Funds Over Undisclosed Valuation Practice That Inflated Fund Performance in Marketing Materials and Investor Reports |
| FINRA Files Proposed Amendments to Rule 5110 and Rule 5121 Narrowing the Scope of Required Information and Lock-Up Restrictions in Public Offerings |
| House Passes Bill to Increase Shareholder Count Thresholds Triggering Securities Exchange Act Registration/Deregistration Obligations for Savings and Loan Holding Companies |
| OCC Requests Comments on Proposed Guidelines Setting Minimum Standards for Risk Governance Framework and Board Oversight of Banks with $50 Billion or More in Consolidated Assets |
| Goodwin Procter Alert: FTC Adjusts HSR and Clayton Act Reporting Thresholds |
| NFA Seeks Comment on Possible Capital Requirements for CPOs and CTAs and Additional Customer Protection Measures |
| Goodwin Procter DC Office Adds Expertise in Consumer Financial Services Litigation and Corporate Finance, Securities, and M&A for Middle Market and Community Banks |
