Reporting Requirements

News & Analysis as of

Charges Against Corporate Insiders Portend Vigorous Future SEC Enforcement of Section 16(a) and Beneficial Ownership Reporting...

On September 10, 2014, the SEC announced charges against 28 officers, directors and major shareholders, as well as six publicly-traded companies, for violating federal securities laws requiring insiders to promptly report...more

SEC Announces Enforcement Initiative for Delinquent Securities Holding and Trading Reporting by Corporate Insiders and Public...

On September 10, 2014, the Securities and Exchange Commission (SEC) announced charges against 13 officers or directors and 15 major shareholders of publicly traded companies for violating Section 16(a), Section 13(d), and/or...more

Updates To OSHA's Recordkeeping Rule

All businesses need to be aware the Occupational Safety and Health Administration (OSHA) has revised its recordkeeping rule to improve timeliness and accuracy of reports it receives relating to fatalities and severe...more

SEC Announces Enforcement Actions Relating to Section 16 Reporting Violations

On September 10, the SEC announced enforcement actions against 28 individuals and investment companies for failing to promptly report their holdings of and transactions in public company stock. The SEC also brought charges...more

OSHA Announces Final Rule Changing List of Establishments Required to Keep Records and Reporting of Work-Related Injuries

On September 11, 2014, the Occupational Safety and Health Administration (OSHA) announced a final rule changing the list of establishments required to keep records and reporting of work-related injuries. The new rule goes...more

OSHA Changes Reporting Requirements for Work-Related Accidents

On September 11, 2014, the U.S. Department of Labor, Occupational Safety and Health Administration (“OSHA”), announced a final rule amending its injury and illness recording and reporting requirements. Although the rule has...more

FATCA Violation Underlies Latest US Tax and Securities Fraud Charges

Indictment demonstrates the strength of US law enforcement efforts to combat offshore fraud and is the first to charge a FATCA violation. On September 9, 2014, in US v. Robert Bandfield, et al., federal prosecutors in...more

CFTC Aligns CPO Regulation With JOBS Act, Provides Other Guidance for CPOs

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight (DSIO) recently issued several letters affecting commodity pool operators (CPOs): JOBS Act Harmonization: On September 9,...more

OSHA Updates Reporting and Recordkeeping Rule – New Rules Take Effect January 1, 2015

OSHA just announced updates to its reporting and recordkeeping requirements for injuries and illnesses, found at 29 CFR 1904. The updates include changes to who is required to comply with the recordkeeping rules, and expands...more

Employers Have Homework: EEO-1 Reports Due September 30TH

Across the country, kids are headed back to school. However, they are not the only ones who have homework to turn in. Employers also have an assignment to complete. Specifically, EEO-1 reports must be filed and certified by...more

Regulation AB II – Final Rules

On August 27, 2014, the Securities and Exchange Commission unanimously voted to adopt a package of new and amended rules governing the registration, offering process, disclosure and reporting for SEC registered asset-backed...more

New OSHA Rule Changes Employers' Injury/Illness Reporting Requirements

On September 11, 2014, OSHA issued a final rule regarding employers' recordkeeping and reporting of occupational injuries/illnesses. The final rule takes effect on January 1, 2015, and includes a few changes from current...more

OSHA Announces Final Rule Increasing Employers’ Injury Reporting Obligations

Yesterday OSHA announced a new final rule, effective January 1, 2015, that will increase the obligation of employers to report injuries to OSHA. Currently, federal OSHA requires that employers report work-related fatalities...more

OSHA Announces Significant Alterations to Reporting Requirements

On September 11, 2014, the Occupational Safety and Health Administration (OSHA) announced a final rule that significantly changes an employer’s duties to report workplace injuries to the agency....more

CFTC grants relief to commodity pool operators selling securities using general solicitation in reliance upon Rule 506(c)

Nearly one year ago the Securities and Exchange Commission adopted Rule 506(c), which eliminated the ban on general solicitation and general advertising in the offer and sale of securities if certain criteria set forth in the...more

The SEC – now killing many birds with one "big data" stone: 5 takeaways

The SEC this week announced a mass action against 34 defendants for alleged violations of federal securities laws regarding reporting of stock holdings. As the Wall Street Journal reported, the action “is part of the ‘broken...more

New Rule On Reporting Worker Hospitalization

On September 11, 2014, OSHA announced a new rule that will require employers to report, in addition to fatalities, all in-patient hospitalizations resulting from a work-related incident....more

SEC Uses Data Analytics to Identify and Punish Late Form Filers

Can merely late filing of “routine” forms get you in trouble with the SEC? Yes, at least if it happens too often. On Wednesday the SEC announced charges and financial penalties totaling $2.6 million against 28 officers,...more

Employer Shared Responsibility Payments and Reporting Requirements Under the Affordable Care Act: Code Sections 6055 and 6056

Employer Shared Responsibility Penalties - There are two types of employer shared responsibility payments, also known as pay or play penalties, under the Affordable Care Act (ACA). The first penalty under Internal...more

EEO-1 Survey Deadline is Approaching

The annual deadline for the completion of EEO-1 surveys is September 30, 2014. All employers subject to this requirement should have received (or will shortly receive) the reports from the Equal Employment Opportunity...more

OSHA’s Final Rule on Reporting Requirements: A Major Change for Employers

On September 11, 2014, the federal Occupational Safety and Health Administration (OSHA) announced a final rule that significantly changes an employer’s duties to report workplace injuries to the agency. The current rule,...more

OSHA Update: OSHA Proposes To Regulate Retaliation Through Citation

In an unusual move, OSHA announced recently that it is seeking comments on proposed rules that would allow it to issue citations to employers who retaliate against employees who report injuries. The announcement comes in the...more

CFTC Publishes Long-Awaited JOBS Act Relief

The staff of the Commodity Futures Trading Commission (CFTC) published a no-action letter on September 9, 2014 (available here) that permits certain commodity pool operators (CPOs) to conduct general solicitation in private...more

The SEC Gets Serious About Late Beneficial Ownership Reporting

On September 10, 2014, the Securities and Exchange Commission (“SEC”) announced charges against 28 directors, officers and significant shareholders of public companies for repeated failures to timely report their share...more

OSHA Proposes New Injury And Illness Reporting Rules

On August 14, 2014, the Occupational Safety and Health Administration ("OSHA") issued a supplemental notice of proposed rulemaking regarding electronic submission of injury and illness records. OSHA had originally published...more

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