Exemptions

News & Analysis as of

Update on Initiation of FCC Rulemaking to Implement the New TCPA Exemption for the Collection of Government Debt

Some of you may remember that back in early November 2015, I wrote about a then little-noticed provision slipped into the Bipartisan Budget Act of 2015. That provision, designed to find more revenues to offset government...more

Hart-Scott-Rodino Thresholds to Increase Effective February 25, 2016

The Federal Trade Commission (“FTC”) has announced revised thresholds under the Hart-Scott-Rodino Antitrust Improvements Act of 1976, as amended (“HSR Act”), that will go into effect on February 25, 2016. The revised...more

Proposed Changes to Quebec Derivatives Regulation Will Impact Dealers, Advisers and Hedgers

This Bulletin highlights the impact of proposed amendments to the Quebec Derivatives Regulation (QDR) on dealers and advisers that are not registered in Quebec to trade standardized derivatives, on persons who intend to rely...more

Restoring old mill hydro sites and FERC licensure

Suppose you own an existing water powered mill complex whose hydromechanical facilities have not been operational for decades. You would like to develop a hydropower project at the site, using the existing dam, headrace, and...more

Japan FSA Finalizes Amendments to the Article 63 Exemption

Final text of the Regulations with respect to the Amendments promulgated has been released as well as the Response to the public comments....more

U.S. House of Representatives Pass Bill Seeking to Raise Disclosure Thresholds under SEC Rule 701

A bill (H.R. 1675) seeking to increase the information disclosure threshold under SEC Rule 701 passed the U.S. House of Representatives on February 3 by a vote of 265 to 159. Rule 701 exempts from registration issuer sales or...more

Courts Continue To Expand ERISA Church Plan Exemption

Most employers know that there is a federal law – the Employee Retirement Income Security Act, or ERISA – that governs employer-sponsored employee benefit plans. There are a few notable exceptions that could apply to...more

CMS Announces Changes to Medicare Meaningful Use Hardship Exception Application Process

On Jan. 22, 2016, CMS issued a new application and sweeping changes to the Medicare Electronic Health Records (EHR) Incentive Program hardship exception application process. The changes are intended to temporarily ease the...more

The Cybersecurity Act of 2015: Implications for Threat Sharing

On December 18, 2015, President Obama signed the Cybersecurity Act of 2015 (The “Act”), legislation designed to combat online threats to the federal government, state and local governments, and private entities. Within the...more

Investment Management, Trading & Markets Advisory: Annual CPO or CTA Exemption or Exclusion Affirmations Due by February 29, 2016;...

Any firm that is currently claiming certain exemptions or exclusions from registration with the Commodity Futures Trading Commission (CFTC) as a commodity pool operator (CPO) or commodity trading advisor (CTA) is required to...more

Can a Massachusetts Religious School Refuse to Employ a Worker in a Same-Sex Marriage?

In Barrett v. Fontbonne Academy, the Massachusetts Superior Court curtailed various statutory and constitutional defenses available to an employer affiliated with a religious institution that faces discrimination claims under...more

House to (Again) Consider Bill to Exempt M&A Brokers from Exchange Act Registration

A bill that would provide a federal statutory exemption from the broker-dealer registration requirements under Section 15(a) of the Exchange Act for certain so called “M&A brokers” has been placed on the calendar for...more

Further CMS Clarification on EHR Hardship Exceptions

As we reported, the Centers for Medicare & Medicaid Services (CMS) posted revised instructions and application forms on January 22, 2016, for health care providers unable to meet electronic health records (EHR) “meaningful...more

House Committee on Financial Services Approves Bill Exempting Smaller Reporting Companies from Filing Financial Data in XBRL

On January 28, 2016, the House Committee on Financial Services reported favorably on the Small Company Disclosure Simplification Act. The bill has been scheduled for consideration by the full U.S. House of Representatives. ...more

Update: LASPO reforms to apply to insolvency proceedings from April 2016

As reported in Reed Smith’s March 2015 client alert, insolvency practitioners currently enjoy an exemption from the provisions of Part 2 of the Legal Aid, Sentencing and Punishment of Offenders Act 2012 (LASPO). These...more

FTC Announces New HSR Reporting Thresholds

On January 21, 2016, the Federal Trade Commission announced increases to the reporting thresholds and exemptions that, under the Hart-Scott-Rodino Act of 1976 (the “HSR Act”), dictate whether companies must notify antitrust...more

Qualifying Private Placement Exemption

The qualifying private placement exemption, which became available on 1 January 2016, makes interest on privately placed notes and/or bilateral loans exempt from United Kingdom withholding tax in certain circumstances where...more

Canada Mandates New Electronic Travel Authorization Program

Canada has mandated registration in a new electronic travel authorization program (“eTA”) for many individuals who do not require visas to travel to Canada. Introduced in August 2015, the program becomes mandatory for many...more

Nevada Deals a New Hand

Holders of Mortgage Servicing Rights are not Subject to Licensing as Mortgage Servicers in Nevada. In July 2015, the Nevada legislature dealt the mortgage industry a new hand when it passed Assembly Bill 480 (2015) (“AB...more

Offering memorandum exemption introduced in Ontario

A new method of raising financing takes effect in Ontario today. As anticipated in a previous alert, Ontario has adopted a prospectus exemption that allows issuers to distribute securities by preparing and delivering an...more

More Maladroit Drafting From The SEC

Last December, the Securities and Exchange Commission proposed a new exemptive rule under the Investment Company Act of 1940. The proposed rule would allow mutual funds, exchange-traded funds (“ETFs”), closed-end funds, and...more

CFTC Proposes Alternative to Fingerprinting Requirement for Foreign Individuals

The Commodity Futures Trading Commission has proposed to amend Regulation 3.21 to provide an exemption for the fingerprinting requirements for an individual who is a principal or associated person of a registrant, if such...more

Deadline Approaches for Annual CPO/CTA Exemption Filings

Firms must affirm their exemption or exclusion from CPO or CTA registration on the National Futures Association’s Exemption Filing System by February 29....more

Life on the margin: US margin rules finalized at last

More than five years after the enactment of the Dodd-Frank Wall Street Reform and Consumer Protection Act, the US Commodity Futures Trading Commission has adopted a final rule regarding margin for uncleared swaps (the CFTC...more

The Wellness Program Awakens: District Court Rejects EEOC Challenge in Flambeau

Wellness programs, already something of a force in the group health plan industry, received a shot in the arm at the end of 2015 when a federal district court in Wisconsin ruled that an employer may require compliance with a...more

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