| June 17, 2014 |
| SEC and Banking Agencies Release Volcker Rule FAQs; OCC Issues Interim Volcker Rule Examination Procedures |
| FRB Governor Tarullo Makes Presentation Concerning Alignment of Bank Corporate Governance and Prudential Regulation |
| SEC Settles Enforcement Proceeding Against Former Portfolio Manager over Prohibited Joint Transaction Involving Registered Closed-End Fund |
| June 24, 2014 |
| Goodwin Procter Alert: Supreme Court Ruling in Halliburton II is a Partial Win for Defendants Facing Securities Class Actions |
| Goodwin Procter Counsel Publishes Article on Treatment of Existing Tort Claimants' Successor Liability Claims in Chapter 11 |
| SEC Settles with Exempt Reporting Adviser over Pay-to-Play Violations |
| SEC Integrates Two Exempt Reporting Advisers to Determine Advisers Act Registration Status |
| Goodwin Procter Alert: SEC Approval of Amendments to FINRA Corporate Financing Rules Will Reduce Burdens on Parties in Public Offerings |
| FINRA Fines Broker-Dealer for Failing to Apply Class A Sales Charge Waivers for Certain Eligible Customers on its Mutual Fund Platform |
| Federal Banking Agencies Issue Final Version of Addendum to Interagency Policy Statement on Income Tax Allocation |
| July 1, 2014 |
| Supreme Court’s Dudenhoeffer Decision Headlines New ERISA Litigation Update |
| SEC Settles with Hedge Fund Adviser over Principal Transactions and Retaliation Against Whistleblower |
| SEC Adopts Cross-Border Security-Based Swap Rules |
| FRB Governor Tarullo Offers Retrospective and Perspective on Supervisory Stress Testing |
| FFIEC Establishes Cybersecurity Web Page and Announces Commencement of Cybersecurity Assessment Program of Community Banks |
| July 8, 2014 |
| SEC Staff Provides Guidance on Summary Section of Mutual Fund Prospectuses |
| GAO Issues Report Concerning Emerging Challenges Posed by Virtual Currencies |
| July 15, 2014 |
| New Business Litigation Reporter Available |
| Director of SEC’s Division of Investment Management Discusses Alternative Mutual Funds |
| SEC Staff Provides Guidance on Custody Rule Compliance When Private Funds Use SPVs and Escrow Accounts |
| July 22, 2014 |
| FDIC Proposes Rule to Revise Deposit Insurance Assessments to Reflect the Basel III Capital Rule |
| Secretary of the Treasury Lew Urges Financial Institutions to Enhance Their Cybersecurity Defenses |
| SEC Staff Legal Bulletin Addresses Use of Proxy Advisory Firms by Advisers and Reliance by Proxy Advisory Firms on Proxy Rules Exemptions |
| July 29, 2014 |
| SEC Adopts Money Market Fund Reforms |
| SEC Staff Issues Guidance on Accredited Investor Tests and Verification of Accredited Investors for Rule 506(c) Offerings |
| SIFMA Provides Guidance on Verification of Accredited Investor Status by Broker-Dealers and Investment Advisers |
| FDIC Issues Guidance on Requests by Banks That Are S-Corporations for Dividend Exceptions to Capital Conservation Buffer |
| AIFMD Goes Live |
