Filing Requirements

News & Analysis as of

FMC to Start Two Regulatory Reviews Regarding Industry Regulations

The U.S. Federal Maritime Commission (FMC) voted this week to start the regulatory review process regarding ocean common carrier and marine terminal operator (MTO) agreements (the Carrier/MTO Agreement Review). The review,...more

Minnesota Commerce Commissioner Orders Insurers To Cease Using “Price-Optimization”

On November 16, 2015, Minnesota Commerce Commissioner Mike Rothman issued Administrative Bulletin No. 2015-3, which ordered Property & Casualty Insurers doing business in the State of Minnesota to cease using “price...more

CFTC Provides Responses to Frequently Asked Questions Regarding Commission Form CPO-PQR and CTA-PR

The Commodity Futures Trading Commission’s Division of Swap Dealer and Intermediary Oversight has issued responses to frequently asked questions (FAQs) regarding Commission Forms CPO-PQR and CTA-PR. The FAQs for Commission...more

NFA Issues Notice to CPOs and CTAs Regarding EasyFile Logistics for CTA FORM PR and CPO Form PQR

The National Futures Association issued a notice explaining how Commission Forms CPO-PQR and CTA-PR can be filed through the NFA’s EasyFile System. To address member feedback on the EasyFile procedures, NFA has launched...more

Retiring Abroad: The Lure of the Exotic, the Chore of U.S. Tax Compliance

For anyone who has watched the movie “The Best Exotic Marigold Hotel,” the idea of retiring overseas may be tempting. Glamorous locales exist around the world with warm sands, fragrant breezes and stunning sunsets where...more

IREG Update - November 2015

Section 1332 waivers—New flexibility coming to a state near you in 2017 - The Affordable Care Act (ACA) includes many new provisions and policies that bring federal regulation into the business of health...more

Upcoming Abandoned Property Deadlines

Just a friendly reminder that the first deadline for New York’s annual abandoned property due diligence mailings is quickly approaching. Here’s a quick recap of the deadlines and the rules governing New York’s abandoned...more

Face-to-Face: Best Practice to Visit the IRS in Person

Speaking to an IRS agent face-to-face can be more efficient than calling an IRS telephone hotline or sending mail to an IRS processing center. I learned the benefit of face-to-face interaction when I visited the IRS office in...more

Supreme Court Amendments Mandate Rejection Of Nonconforming Briefs And Dismissal Of Inactive Cases

On October 16, 2015, the Rhode Island Supreme Court issued an order making important amendments to Article I of the Supreme Court Rules of Appellate Procedure....more

Modern Slavery Act Guidance. Are you a supplier of goods or services in the UK with a turnover above £36m? If you are, this...

The UK Government has published guidance1 on the transparency in supply chains provision of the Modern Slavery Act. Starting with those with a year-end of 31 March 2016, all organisations with a turnover above £36m will be...more

Vesting 101 – Whaddya Mean I Don’t Own My Stock?

Vesting is an extremely important concept that arises (or should) among the founders when a company is formed, when equity incentives are granted and when outside investors invest. Although some founders view vesting as yet...more

Have you filed your BE-180? 2015 is a benchmark year for reporting financial services transactions between US financial services...

The Commerce Department’s Bureau of Economic Analysis (BEA) continues to broaden reporting requirements for its various surveys by mandating that all qualifying business entities submit government surveys during “benchmark”...more

FERC Modifies Filing Requirements for Market-Based Rate Sellers and Clarifies Gen-Tie Priority Rights Rules

At its October 2015 meeting, the Federal Energy Regulatory Commission ("FERC" or “Commission”) issued three orders pertaining to its market-based rate regulations. In Order No. 816, the Commission adopted proposals to update...more

FERC Substantially Modifies Filing Requirements for Market-Based Rate Sellers and Clarifies Rules on Priority Rights Granted to...

On October 16, 2015, the Federal Energy Regulatory Commission (FERC or “Commission”) issued Order No. 816 that revises filing requirements for market-based rate (MBR) sellers of electric energy, capacity, and ancillary...more

Rejected! Common Mistakes on Corporate Merger Filings

Our last blog post was about mistakes that are made on common types of corporate filings, resulting in having them kicked back by the Secretary of State. We continue that theme with mistakes that are made on corporate merger...more

Rejected! Mistakes with Common Corporate Filings

In addition to the embarrassment factor for counsel and the extra time and expense involved, a rejected corporate filing can throw a wrench into what would otherwise be an orderly sequence of events in a transaction. To avoid...more

Recent Amendments to the Goods and Services Tax/Harmonized Sales Tax (GST/HST)

Section 156 election for closely-related parties - As the last quarter of 2015 approaches, it is important for advisors and registrants to be aware of the new requirement to file elections in respect of any...more

Bureau Settles Rio Verde Wireless Notice of Apparent Liability, Further Reminds Providers of Form 477 Obligations

On October 7, 2015, the Enforcement Bureau settled a Notice of Apparent Liability (NAL) with Rio Verde Wireless (Rio Verde or the Company) for failing to timely file its Form 477 and for failing to answer the Bureau’s...more

Impact of New European AIFMD Regulation on SBICs

The recent adoption of the European Alternative Investment Fund Managers Directive (AIFMD), effective July 2013 (and with transitional provisions in some countries through 2014), has imposed complex new regulations on most...more

"MOFCOM Cracking Down on Failures to Notify Qualifying Mergers, Acquisitions and Joint Ventures"

China’s Anti-Monopoly Law requires businesses to notify transactions to the Ministry of Commerce (MOFCOM) for merger control review, so long as the parties meet certain revenue thresholds and the transaction involves a change...more

General Solicitation of Investors for Your Financing: Rule 506(c) of Regulation D

Previously, we discussed a startup’s most important tool for selling debt or equity securities in compliance with the Securities Act of 1933, as amended: Rule 506(b) of Regulation D. This rule is critically important to...more

SEC Seeks Public Comment on Regulation S-X

On September 25, the U.S. Securities and Exchange Commission (the “SEC”) announced that it is seeking public comment on the effectiveness of financial disclosure requirements in Regulation S-X. The request for comments...more

EIOPA updates Solvency 2 reporting tools

EIOPA has updated the XBRL tool for undertakings (T4U) for Solvency 2 reporting....more

La Dian expidió declaración anual de activos en el exterior para 2015

El pasado 14 de septiembre de 2015 el Director de la Dirección de Impuestos y Aduanas Nacionales, expidió el Formulario No. 160 para la presentación de la “Declaración Anual de Activos en el Exterior”. La Declaración...more

Employee Benefits Developments - September 2015

IRS Issues New Draft Form 1095-C and Instructions. On August 6, 2015, the IRS published its most recent updates to Form 1095-C and the instructions for Forms 1094-C and 1095-C. Beginning in early 2016, applicable large...more

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