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You are here: Industry Financial Services Goodwin Procter: Financial Services Newsletter

GoodwinProcterLogoFinancial Services Newsletter

Goodwin Procter
January 23, 2013
4 pages

In this Issue:

  • IRS and Treasury Department Issue Highly-Anticipated FATCA Regulations
  • FRB and OCC Issue Cease and Desist Orders Against JPMorgan Chase Requiring Enhancements to Risk Management Program Related to Derivatives Trading Activity and to Bank Secrecy Act/Anti-Money Laundering Compliance Program
  • Financial Stability Oversight Council Extends Comment Period for Money Market Fund Reform Proposals
  • CFTC Extends Comment Period for Proposed Rule Regarding FCMs and DCOs
  • SEC Extends Comment Period for Proposed Capital, Margin, and Segregation Rules for Security-Based Swap Dealers and Major Security-Based Swap Participants
  • SEC Approves FINRA Proposal to Amend FINRA Rule 4530 to Eliminate Certain Redundant Disclosure and Permit Online Filing of Copies of Litigation Documents
  • SEC Approves FINRA Rule Change to Adopt Interim Form for Funding Portals under the Crowdfunding Provisions of the JOBS Act

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