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Exemptions Disclosure Requirements

Pillsbury Winthrop Shaw Pittman LLP

FinCEN Finalizes Rule to Compel Reporting of Individuals and Beneficial Ownership of Entities Involved in Specified Transfers of...

FINCEN’s final rule (RRE Rule), effective December 1, 2025, will require disclosure of the transferor and transferee(s) and the individuals and the beneficial owners of entities involved as transferee in the transfer of...more

Baker Botts L.L.P.

Form SD Deadline Approaching for Resource Extraction Issuers: Reminder and FAQs

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As previously discussed in our Client Alert issued on December 18, 2020 (available here), the U.S. Securities and Exchange Commission (the “Commission”) adopted its final rule (the “Final Rule,” available here) requiring...more

Fenwick & West LLP

California’s Hidden Fee Ban: FAQs and Guidance

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On July 1, 2024, California’s law banning hidden fees took effect. Under the Consumer Legal Remedies Act (CLRA), SB 478 provides that businesses transacting with California consumers may not apply additional fees or charges...more

WilmerHale

Rhode Island Enacts Nation’s Nineteenth Comprehensive Privacy Law

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On June 13, the Rhode Island legislature passed the Rhode Island Data Transparency and Privacy Protection Act (RIDTPPA) (H. 7787/S. 2500), with the bill passing into law on June 29....more

Ruder Ware

The CTA’s Large Operating Company Exemption in Focus

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The Corporate Transparency Act (the “CTA”), part of the federal government’s effort to curtail money laundering by means of shell company structures, imposes disclosure requirements on most entities registered to do business...more

Dechert LLP

Yet Another DOL Fiduciary Rule Released: Will the ‘Regular Basis’ of Prior Outcomes Follow ‘Suit’?

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The Department of Labor issued a final release (the “Final Release”) which (1) finalized changes to its 1975 rule defining when institutions and individuals are providing fiduciary “investment advice” to plans that are...more

Mintz - Privacy & Cybersecurity Viewpoints

New Jersey Adopts a Comprehensive Data Privacy Law

2023 was a record-breaking year, with legislators in Delaware, Indiana, Iowa, Montana, Oregon, Tennessee and Texas passing comprehensive data privacy laws, joining California, Colorado, Connecticut, Utah and Virginia. Already...more

DarrowEverett LLP

Ready for More Corporate Transparency? Understanding the NY LLCTA

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Despite the fact that its constitutionality is currently in legal limbo, the federal Corporate Transparency Act has already had an impact rippling through a number of business sectors, thanks in no small part to the wave of...more

Holland & Knight LLP

New York LLC Transparency Act Update: Finally, Some Clarity

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The New York LLC Transparency Act (NY LLCTA) will become effective as of Jan. 1, 2026, and will require limited liability companies (LLCs) formed, or qualified to do business, in the state of New York to disclose individual...more

Faegre Drinker Biddle & Reath LLP

The New Fiduciary Rule (22): Can Wholesalers Become Fiduciaries

The U.S. Department of Labor has released its package of proposed changes to the regulation defining fiduciary advice and to the exemptions for conflicts and compensation for investment recommendations to retirement plans,...more

BakerHostetler

And New Jersey Makes 13!

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New Jersey rang in the new year with the signing of a state privacy bill. On Jan. 16, Gov. Phil Murphy signed SB No. 322, stating he was proud that New Jersey had joined the ranks of states with consumer privacy bills....more

Venable LLP

Looming CTA Disclosure Requirements and Healthcare Providers

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The Federal Corporate Transparency Act (the CTA), 31 U.S.C. §5336, will soon require certain entities to disclose to the U.S. Treasury's Financial Crimes Enforcement Network (FinCEN) certain pieces of identifying information...more

American Conference Institute (ACI)

[Event] 5th National Forum on FARA - December 1st, National Harbor, MD

Hosted by American Conference Institute, the 5th National Forum on FARA returns for another exciting year with curated programming that will feature the most complex, high stakes FARA issues at the forefront. This event is...more

WilmerHale

Crypto Currently: California Enacts Landmark Crypto Licensing Law

WilmerHale on

On October 13, Governor Gavin Newsom signed into law a comprehensive licensing regime for digital asset companies operating in California. Until this point, California had refrained from taking a definitive position on...more

Reveal

[Webinar] Optimize Your Disclosure Workflow | Practical Tips - July 13th, 11:00 am - 12:00 pm CET

Reveal on

All journeys have a beginning and end point, and some of them have a meandering, convoluted pathway. This is certainly the case with Disclosures. FOI, DSAR and DSRR all have a journey to travel but some traverse more...more

BCLP

PFAS Update: Maine PFAS Reporting Deadline Extended to January 1, 2025

BCLP on

On June 8, 2023, Governor Mills executed LD 217 which extends the deadline for reporting products that are sold in Maine that contain intentionally added PFAS materials to January 1, 2025. The law also clarifies some of the...more

Torres Trade Law, PLLC

Think Tanks May Need to Rethink FARA Registration

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When considering who must register under the Foreign Agents Registration Act (“FARA” or “the Act”), one normally thinks of individuals, law firms, or marketing firms, the typical kinds of agents that must register for...more

Farella Braun + Martel LLP

Employee Data Under the CCPA: Expiration of Employer Exemptions Requires Compliance as of January 1, 2023

Since the California Consumer Privacy Act (“CCPA”) was passed in 2018, employers have been watching carefully to see how the law will apply to data collected and maintained about their employees. Up until now, employment data...more

Pillsbury Winthrop Shaw Pittman LLP

U.S. Capital Markets Regulations Affecting U.S. Companies - August 2022

Capital markets in the United States provide an unparalleled source of investment capital, measured in trillions of dollars. U.S. markets and rules allow companies to raise funds on an expedited and economically efficient...more

Dunlap Bennett & Ludwig PLLC

Raising Money: Regulation D and Private Placements

Many start-up founders and entrepreneurs, need to raise money for their new ventures. Typically, you would raise money through the sale of securities. What are securities?...more

Goodwin

CFPB Launches New Initiative Focused on Rural Communities

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In This Issue. The Consumer Financial Protection Bureau (CFPB) announced a new initiative focused on financial issues faced by rural communities and also updated its examination procedures to cover unfair discrimination; the...more

Stikeman Elliott LLP

OSC Extends Exemption From Underwriting Conflict Disclosure Requirements for Foreign Private Placements

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On March 1, 2022, the Ontario Securities Commission (OSC) made an order extending the blanket relief issued in February 2021 that provides an exemption from underwriting conflicts disclosure requirements for foreign private...more

Stikeman Elliott LLP

OSC Issues Order to Provide Exemption to Federal Financial Institutions from Non-GAAP Disclosure Requirements

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The Ontario Securities Commission (OSC) recently made an Order to exempt reporting issuers that fall under the definition of “federal financial institution” under the Bank Act from the application of National Instrument...more

Smart & Biggar

FCA allows appeal of FC decision exempting FORTEKOR information from ATI disclosure

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On September 24, 2021, the Federal Court of Appeal (FCA) allowed the Minister’s appeal of a Federal Court (FC) decision finding that certain records relating to Elanco’s FORTEKOR (benazepril) were exempt from disclosure under...more

Sheppard Mullin Richter & Hampton LLP

New York City Biometric Ordinance Effective July 9, Are You Ready?

New York City recently enacted a biometric ordinance that is set to come into effect July 9, 2021. With this ordinance, NYC joins other cities (like Portland) in regulating the use of biometric information. The ordinance may...more

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