Filing Requirements

News & Analysis as of

HMDA resources for data collected in 2017 and 2018

As we have reported, the Consumer Financial Protection Bureau (CFPB) released a final rule amending Regulation C, which implements the Home Mortgage Disclosure Act (HMDA), requiring “Covered Institutions” to report certain...more

New Electronic Form 8976 to Alert IRS About Section 501(c)(4) Status; 1023-EZ Application Reduced to $275

The Protecting Americans from Tax Hikes (“PATH”) Act of 2015, enacted in December 2015, requires organizations to notify the IRS if they desire to operate under Section 501(c)(4) of the Internal Revenue Code (“Code”). (Only...more

Proposed OSC Rule 72-503 Aims to Provide Clarity on Distributions from Ontario to Outside Canada

On June 30, 2016, the Ontario Securities Commission (OSC) published for comment Proposed OSC Rule 72-503 Distributions Outside of Canada (Rule 72-503) and Proposed Companion Policy 72-503CP (Companion Policy, and together...more

New PAGA Amendments Fail to Substantively Address Employers’ Concerns

Governor Brown recently approved Senate Bill No. 836, which amends the Private Attorneys General Act (“PAGA”) in a few minor technical ways, including new filing and notice requirements. Although employers had hoped for...more

Yet Another Congressional Proposed Corporate Reform: Proxy Advisory Firms in the Crosshairs.

Over the past six months, U.S. legislators have engaged in an unusual burst of energy to introduce three separate bills regulating various areas affecting U.S. public company corporate governance: - The Cybersecurity...more

U.S. Department of Education Issues Revised Handbook for Campus Safety and Security Reporting

For the first time in five years, the U.S. Department of Education (Department) has updated The Handbook for Campus Safety and Security Reporting, the primary resource for institutions of higher education seeking...more

SEC Clarifies Relationship between HSR Investment Intent and 13D/G Status

The SEC has issued a new Compliance and Disclosure Interpretation (8-K 103.11) that clarifies the interaction between the investment intent exemption in the HSR rules and the ability to file a Schedule 13G. The CDI poses...more

ATF Final Rule 41F – Background Checks for Responsible Persons

Seyfarth Synopsis: Going forward, ATF’s new rule on applications by a trust or legal entity to make or transfer NFA firearms, requires that they be submitted on new forms — including background checks. The Bureau of...more

Department of Labor Increases Penalties for Certain ERISA Violations

The U.S. Department of Labor (DOL) published on July 1, 2016, an interim final rule adjusting the civil monetary penalties that it can enforce. These adjustments are the result of the Federal Civil Penalties Inflation...more

EAS Test Reporting System Deadline Fast Approaching

All Emergency Alert System (“EAS”) Participants must complete EAS Test Reporting System (“ETRS”) Form One on or before August 26, 2016. This would include all cable television systems, TV stations, radio stations and low...more

Third Party Administrator Update: TPA Regulatory and Legislative Developments

Polsinelli is pleased to share the June 2016 Third Party Administrator Newsletter. This newsletter covers topics throughout the year that impact TPAs. Information specific to Polsinelli's TPA practice is also included....more

North Carolina Legislature Adjourns for 2016 with No Major Changes to ABC Laws

The North Carolina General Assembly adjourned for 2016 with no major changes to North Carolina’s alcohol laws. North Carolina legislation that allows wine shippers to file excise tax reports on an annual basis, rather...more

Yet Another Congressional Proposed Corporate Reform: Proxy Advisory Firms in the Crosshairs

Over the past six months, U.S. legislators have engaged in an unusual burst of energy to introduce three separate bills regulating various areas affecting U.S. public company corporate governance...more

Entry into force of the new Luxembourg regime for legal publication

On 1 June 2016 the act dated 27 May 2016 overhauling the Luxembourg legal publications’ regime applicable to companies and associations entered into force. The reform reduces the administrative burden and costs applicable to...more

Court Affirms Power Of Attorney Holder’s Right To Revoke Gift

In Wise v. Mitchell, a power of attorney holder, Mitchell, filed a revocation of a deed that the principal issued to Wise. No. 05-15-00610-CV, 2016 Tex. App. LEXIS 6502 (Tex. App.—Dallas June 20, 2016, no pet. history). After...more

Maximum Civil Penalties for HSR Violations to Increase to $40,000 per Day

For parties considering a merger or other transaction, the civil penalties for failing to comply with the Hart-Scott-Rodino Antitrust Improvements Act of 1976 (“HSR Act”) are about to increase significantly. On June 29,...more

A New Path to Capital Opens for North Carolina Businesses

The NC PACES Act: “Providing Access to Capital for Entrepreneurs and Small Business” is expected to be signed into law very soon. After years in the making, “intrastate” crowdfunding is coming to North Carolina. ...more

US Board of Governors of the Federal Reserve System and US Federal Deposit Insurance Corporation Permit Reduced Resolution Plan...

The Federal Reserve Board and the FDIC announced that they are permitting certain foreign banking organizations with limited US operations to file “reduced content” resolution plans for their next three resolution plans...more

SEC Proposes Increasing Threshold to Qualify as a Smaller Reporting Company

The SEC has proposed amendments that would increase the financial thresholds in the “smaller reporting company” definition. The proposal to update the definition would expand the number of companies that qualify as smaller...more

New York Institutions: NYSED Activates Electronic Submission System for Article 129-A and 129-B Compliance

The New York State Education Department has activated its electronic submission system for institutions to file certificates of compliance with Education Law Articles 129-A and 129-B, as well as the copies of rules and...more

Grower Security and Payment Protection Legislation Awaits Senate Approval

On May 5, the Senate Commerce Committee approved Senate Bills 899 and 900. The legislation would strengthen Michigan's Grain Dealer's Act and Farm Produce Insurance Act should a licensed grain dealer end up insolvent or...more

Federal Circuit Rules That “Same-Day Continuations” Are Proper

The Federal Circuit yesterday issued a decision that will make many patent owners and IP practitioners breathe easier. In Immersion Corp. v. HTC Corp. the Court reversed a district court holding that a continuation...more

New York State Department of Education Publishes New Filing Guidance on Section 129-B Policies

Below is an update that the New York State Education Department (“NYSED”) posted on its website on June 16th regarding the Certificate of Compliance required to be filed under Article 129-B with the NYSED by July 1, 2016,...more

The SEC Promulgates Long Awaited Rules on Investor Regulation Crowdfunding

Most of us are generally familiar with the concept of crowdfunding – the practice of a group of unrelated people financing a product with modest amounts of money online. Many recent crowdfunding efforts have involved...more

FINRA Proposes Initial Round of Amendments to Communications Rules

In May 2016, FINRA filed with the SEC proposed revisions to its communications rules that include a few substantive revisions to existing rules, ease some burdensome filing requirements, and leave the door open for future...more

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