Electronic Filing

News & Analysis as of

This May Not Be Rocket Science, But Is NASAA’s Form D Filing Fee Legal?

Earlier this week, the North American Securities Administrators Association (aka NASAA) announced the launch of its Electronic Filing Depository (EFD). The EFD allows issuers to file Form Ds in Rule 506 offerings online. A...more

PTO’s Holiday Gift: Lower Trademark Fees

“The USPTO has issued a final rule notice reducing certain trademark fees. The reductions will benefit the public by lowering the costs of seeking and renewing federal registration. ...more

U.S. Patent and Trademark Office to Reduce Filing Fees

Effective January 17, 2015, the U.S. Patent and Trademark Office is reducing filing fees for new U.S. trademark applications filed and processed electronically from $325 to $275 per class (and as low as $225 if certain strict...more

NASAA Unveils Online Filing System for State Form D Filings

On December 15, 2014, the North American Securities Administrators Association, Inc. (NASAA) unveiled its Electronic Filing Depository (EFD) for use in connection with state Form D filings in Rule 506 offerings. The NASAA...more

PTAB Grants Request for Rehearing Relating to Procedure for Serving Petitions

Facebook, Inc. v. Rembrandt Social Media, L.P. - In an order granting a request for rehearing to address the issue of a filing date of a petition for inter partes review (IPR), the U.S. Patent and Trademark Office’s...more

Electronic Blue Sky Filings: NASAA Proposes Model State Rules

The North American Securities Administrators Association, Inc. (NASAA) has released model rules relating to the use of its Electronic Filing Depository (EFD) system for Form D and state registration and notice filings. The...more

NASAA Seeks Comment on a Model Rule for Electronic Blue Sky Filings

The North American Securities Administrators Association, Inc. (NASAA) posted a web notice requesting comment on model rules that would provide for electronic filings with the states of Form D and other state securities...more

Ensuring Timely Filing with Private Delivery Services

Most of us are aware of the timely-mailed-timely-filed “mailbox rule” contained within the Internal Revenue Code. Most of us are probably also aware that a document mailed with a private delivery service may also qualify for...more

DBO Filing Procedures Set To Change Big Time

When I joined the Department of Corporations, it had no website and filings were made only in hard copy. In the ensuing years, the Department (now known as the Department of Business Oversight) created a website, established...more

Plus-Sized e-Discovery for Medium-Sized Firms

In cases involving large amounts of electronically stored information (ESI), those of us at mid-sized or smaller firms may sometimes feel a little out-gunned when the requests for production and documents start flying. While...more

Alabama Legislative Update - Week 4: Getting Down to Business

The Alabama Senate is required to vote on sunset legislation by the tenth legislative day and, under current procedures, each sunset bill has to be individually considered by the Senate. ...more

Proposed OSHA Rules Call for Electronic Filing of Employee Injury Records and Provide Public Access to Records

Last Friday, the federal Occupational Safety and Health Administration published proposed regulations overhauling employer obligations with respect to employee workplace injury and illness reporting. The new rules do not make...more

DDTC Ups the Ante on Data Gathering from ITAR-Registered Companies and Introduces Electronic Filing

Pursuant to the International Traffic in Arms Regulations (ITAR), the U.S. Department of State Directorate of Defense Trade Controls (DDTC) has issued a revised Statement of Registration (DS-2032) form and now allows it to be...more

China’s MOFCOM Launches Electronic Merger Filing System

Beginning on October 28, 2013, all merger control cases before China’s Ministry of Commerce (MOFCOM) will have to be filed, and only be filed, in electronic form. In the past, it was required by MOFCOM to provide both hard...more

Shanghai Pilot Free Trade Zone (PFTZ)

The China (Shanghai) Pilot Free Trade Zone (PFTZ) officially launched on September 29th, granting 25 Chinese and overseas companies licenses to register in the PFTZ on its first day. The General Plan for the PFTZ was...more

EPA Mandates Electronic Filing for Toxic Release Inventory Reports

On August, 27, EPA published a final rule requiring electronic filing for facilities reporting chemical releases through the Toxics Release Inventory, beginning January 21, 2014. The rule is designed to ease the regulatory...more

IRS Requiring Taxpayers to File FBARs Electronically Raises Concerns About Delinquent Filing and Offshore Voluntary Disclosure...

In recent years, the United States government has intensified its efforts to collect taxes on income generated by offshore bank accounts and financial holdings. A key tool in these enforcement efforts is a provision under...more

Changes To FINRA Rule 5123

On June 20, 2013, FINRA proposed changes to Rule 5123 that would require offering documents in connection with certain private placements to be filed electronically by FINRA members and would also expand the applicable form...more

Mandatory Electronic Filing for FBARs Effective July 1, 2013.

June 30, 2013 is the filing due date for 2012 “FBARs,” also known as Form TD F 90-22.1, Report of Foreign Bank and Financial Accounts. If there is a non-willful failure to file, the penalties are up to $10,000. If there is...more

Deadline: Foreign Bank Account Reports Due June 30, 2013

Any U.S. person who has a financial interest in or signature authority over one or more foreign financial accounts with an aggregate value over $10,000 (on any day of the year) must report the accounts to the Treasury...more

New Electronic I-94 Process

Foreign visitors arriving in the U.S. by air or sea can now access their U.S. Customs and Border Protection arrival/departure record information online. CBP no longer requires international non-immigrant visitors to fill out...more

North Dakota Amends UCC To Require Electronic Recording

On April 30, North Dakota enacted HB 1136, which compels the Secretary of State to provide an electronic means for filing any record required to be filed under the state Uniform Commercial Code. ...more

eDiscovery: The View From Singapore

The Singaporean government has adopted aggressive measures to become a regional center for dispute resolution and arbitration in areas ranging from intellectual property, to oil and gas arbitration....more

FinCEN Reminds Financial Institutions About E-Filing Reports

On March 7, FinCEN issued a notice reminding institutions that they must use FinCEN’s new electronic reports to file most Bank Secrecy Act Reports, including Suspicious Activity Reports, Currency Transaction Reports,...more

IP Australia to introduce e-Filing of patent and design applications

Electronic filing applies to:- •standard, divisional, innovation and provisional patent applications and applications for design registration filed after 1 December 2012, •patent applications claiming priority...more

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