Annual Reports

News & Analysis as of

SEC Suspends Regulation A+ Offering

In the first action of its kind, the SEC has temporarily suspended the Tier 2 Regulation A+ offering of Med-X, Inc. The $15 million continuous offering of common stock was qualified by the SEC on November 3, 2015. ...more

Legislation Establishes New Reporting Requirements for State and Local Debt Obligations

Annual Reports Filed with the California Debt and Investment Advisory Commission Must Include Additional Information - State and local agencies that issue debt must now file new specified information in the annual...more

When Do 2016 Financial Statements Go Stale for 2017 Offerings?

FreshBread, Corp. is a newly public company that will need to file periodic reports beginning in 2017. FreshBread is also planning to do a registered offering in 2017 and is confused as to when its 2016 financial statements...more

The ERISA Litigation Newsletter - August 2016

Editor's Overview - This month’s newsletter features an article on the DOL’s recently published interim final rule that increases penalties for notice and disclosure violations, which generally became effective on...more

Investment Canada: Update from the Canadian Government on Foreign Investment Review

On August 4, 2016, the Director of Investments at Innovation, Science and Economic Development Canada (ISED) issued the Investment Canada Act Annual Report for 2015-16 (the Report). The Report provides an overview of how the...more

Blog: Comments On PCAOB Reproposal Of Expanded Audit Report Reflect Predictable Split

In May of this year, after five years of outreach, the PCAOB once again attempted to make the auditor’s report more relevant and informative to investors by reproposing the auditor reporting standard, The Auditor’s Report on...more

INTERPOL and politically motivated Red Notices- what we can learn from INTERPOL’s annual reports

A reader recently posed some questions about INTERPOL’s dissemination of information, and those questions are answered in today’s post....more

CFTC Proposal to Amend CPO Reporting Rules

The Commodity Futures Trading Commission (“CFTC”) on August 5, 2016, issued a proposal to amend its rules governing commodity pool annual reports, which, if adopted, would permit commodity pool operators (“CPOs”) of a pool...more

$6 Billion Chinese Acquisition Bid Submitted for CFIUS Review Serves as a Wake-Up Call for Companies to Evaluate and Mitigate...

In late July 2016, U.S. technology distributor Ingram Micro, Inc. (Ingram) announced that it would submit its pending $6 billion acquisition by Chinese shipping company Tianjin Tianhai Investment Co. Ltd. to the Committee on...more

Bridging the Week - August 2016 #2

Court Refuses to Dismiss Malpractice Claim Against MF Global Accountant: PriceWaterhouseCoopers LLP failed in its effort to have a federal court in New York City dismiss a malpractice claim brought against it by the plan...more

The New Clery Handbook: What Your College or University Needs to Know Before Publishing Your October 2016 Annual Security Report...

On June 23, the U.S. Department of Education, Office of Postsecondary Education, published the 2016 Edition of The Handbook for Campus Safety and Security Reporting, as required by the Clery Act (the “Handbook")...more

FSOC on Fintech Risks, Cybersecurity Vigilance

An annual report from the Financial Stability Oversight Council (FSOC) recently focused on the risks presented by the burgeoning fintech industry as well as the continuing "pressing concern" of cyber threats and...more

EEOC Revises EEO-1 Report Proposed Pay-Data Collection Rules

Seyfarth Synopsis: On July 14, 2016, the EEOC released revisions to the EEO-1 proposed rule that will require many employers to annually report pay data if approved in its current form. While the EEOC clarified certain...more

After A Decade Of Mixed Results, EEOC Rebrands Its Systemic Discrimination Litigation Program

Seyfarth Synopsis: With the publication of a ten-year review of its systemic discrimination program on July 7, 2016, the EEOC seeks to blunt employer and judicial scrutiny of the EEOC’s litigation practices by emphasizing its...more

Medicare Board of Trustees Releases 2016 Annual Report: Hospital Trust Fund Insolvency Projected by 2028

The Medicare Board of Trustees is calling for urgent legislative action to address the impending financial insolvency of the Medicare hospital benefit program. The Board’s 2016 report reveals the trust fund that pays for...more

UK Financial Regulatory Developments - June 2016 #18

EP publishes EDIS report - EP has published a working document on the European Deposit Insurance Scheme (EDIS). The report looks at interlinkages between the EDIS proposal and other legislation and existing structures,...more

UK Financial Regulatory Developments - June 2016 #17

ECB publishes governance and risk management review - ECB has published the results of a thematic review that resulted from an in-depth assessment of all significant institutions across the euro area. The review looked...more

MedPAC Releases Report to Congress on Medicare and the Health Care Delivery System

In June, the Medicare Payment Advisory Commission (MedPAC) released their final annual report to Congress detailing recommendations on a variety of Medicare payment system issues....more

State Banking Regulators Issue Annual Report

What were state banking regulators focused on last year? A new report from the Conference of State Bank Supervisors (CSBS) reveals that state regulators "increased coordination and collaboration between state regulators and...more

Financial Regulatory Developments Focus - June 2016 #2

In this week's newsletter, we provide a snapshot of the principal US, European and global financial regulatory developments of interest to banks, investment firms, broker-dealers, market infrastructure providers, asset...more

European Securities and Markets Annual Report 2015

The European Securities and Markets Authority published its 2015 annual report. The report reviews ESMA’s mission and objectives for 2015 and measures its achievements against its 2015 objectives...more

European Banking Authority Publishes Annual Report

The European Banking Authority published its annual report which provides a review of the EBA’s work in 2015 and sets out key areas of focus it has forecast for the short term future. The EBA lists its achievements in 2015 in...more

UK Financial Regulatory Developments - June 2016 #11

BRRD ITS on form and content of support agreements published in OJEU - The Implementing Regulation laying down ITS under the Bank Recovery and Resolution Directive (BRRD) on the form and content of the description of...more

The June 30th Enrollment Deadline for ESTMA Compliance is Looming

Natural Resources Canada (NRCan) is calling for those entities required to report under the Extractive Sector Transparency Measures Act (ESTMA) to enroll for an ESTMA identification number by submitting a Contact Form to...more

"SEC Amends Form 10-K to Specifically Allow New Summary Section"

On June 1, 2016, the U.S. Securities and Exchange Commission (SEC) amended Form 10-K to specifically allow companies to provide a summary section in their annual reports. This revision to Form 10-K was adopted to implement...more

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