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Gabelli: Supreme Court rules against the SEC, holding that 5-year statute of limitations starts when conduct occurs, not when the SEC discovers it

Nutter McClennen & Fish LLP
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USA
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February 28 2013

The U.S. Supreme Court yesterday unanimously rejected application of the "discovery rule" approach to extending the statute of limitations for SEC

FINRA issues proposal to amend rules on commissions and fees

Nutter McClennen & Fish LLP
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USA
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February 28 2013

FINRA last month requested comment on proposed amendments to rules governing markups, markdowns, commissions and fees on securities transactions. The

DOJ and SEC release new FCPA guidance

Nutter McClennen & Fish LLP
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USA
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November 21 2012

On November 14, 2012, the Department of Justice and the Securities and Exchange Commission jointly released guidelines concerning the Foreign Corrupt Practices Act, in the form of a 120- page manual titled A Resource Guide to the U.S. Foreign Corrupt Practices Act

Nutter Bank Report, April 2012

Nutter McClennen & Fish LLP
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USA
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April 30 2012

The Massachusetts Department of Revenue has issued a revised draft of a regulatory directive addressing the ability of a shareholder of a Massachusetts security corporation to pledge its stock in the security corporation as collateral for a loan to the shareholder

President Obama signs the JOBS Act

Nutter McClennen & Fish LLP
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USA
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April 6 2012

On April 5, 2012, President Obama signed the Jumpstart Our Business Startups (“JOBS”) Act into law

Consumer sues for violation of Massachusetts’ information security regulations

Nutter McClennen & Fish LLP
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USA
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March 30 2012

The U.S. Court of Appeals for the First Circuit on February 28 dismissed a consumer’s claims against a third-party vendor doing business with the consumer’s securities brokerage firm that were based on the vendor’s alleged failure to comply with the Massachusetts information security requirements

Federal appeals court rules for fidelity, holding certain employees not protected by Sarbanes-Oxley whistleblower law

Nutter McClennen & Fish LLP
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USA
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February 10 2012

In a recent 2-1 decision, a federal appeals court sitting in Boston held that the term “employee” in the Sarbanes-Oxley Act’s whistleblower provision does not cover employees of private companies that manage public mutual funds

Social media and SLHC regulatory reports

Nutter McClennen & Fish LLP
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USA
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August 31 2011

The Financial Industry Regulatory Authority (“FINRA”) has issued new guidance to securities firms and brokers on the use of social media to communicate with the public

Report: CFPB may exercise authority without a Senate-confirmed director

Nutter McClennen & Fish LLP
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USA
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February 28 2011

The Inspectors General of the Treasury Department and the Federal Reserve have delivered a report concluding that the Bureau of Consumer Financial Protection (CFPB) may exercise a wide range of rule-making and examination powers even if the CFPB does not have a Senate-confirmed Director by the "designated transfer date

FDIC issues proposal to limit incentive compensation

Nutter McClennen & Fish LLP
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USA
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February 28 2011

The FDIC has proposed a rule to be issued jointly with the other federal banking agencies, the SEC and the Federal Housing Finance Agency that would limit certain types of incentive-based compensation arrangements

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