Filing Requirements

News & Analysis as of

MOFCOM Shows Teeth Against Gun Jumping

On 20 March 2014, the Ministry of Commerce of the People’s Republic of China (“MOFCOM”) issued a notice announcing that it will make public decisions sanctioning companies failing to notify mergers that meet the filing...more

FINRA Files Proposed Amendments to Communications Rules

FINRA filed with the SEC proposed amendments to FINRA Rule 2210, related to communications with the public, and FINRA Rule 2214, which sets forth requirements for the use of investment analysis tools (the “Amendments”). ...more

Broadcast Station Reminder—Quarterly Filings and Requirements: Issues/Programs Lists; Children’s Programming; Commercial Limits;...

By April 10, 2014, all radio and television broadcast stations, both commercial and noncommercial, must prepare a list of important issues facing their communities of license, and the programs aired during January, February...more

The Last Days of Disco Ops

Consider this scenario: Staying Alive, Inc., a publicly traded clothing company based in South Beach, Florida, is planning to offer additional shares to the public in a registered securities offering. Several weeks before...more

Board Explains Procedure for Filing Supplemental Evidence or Information.

A party seeking to file supplemental evidence under 37 C.F.R. § 42.64(b)(2) must receive Board authorization to file such evidence, because the rule contemplates serving such evidence, but not filing such evidence. ...more

I Filed a Notice of Appeal, Now What?

The process of pursuing a civil appeal in California can be a bit of a mystery for the first time litigant or trial lawyer unfamiliar with appeals. This post is the second in a series on explaining the process of a civil...more

The Cross-Border Perspective: Name Changes and Other Post-Filing or Registration Events Under the UCC and the PPSA

We are U.S. lawyers and don’t practice Canadian law. But we seize every occasion that we have to deepen our understanding of the differences between U.S. and Canadian law. Why? Because understanding the differences allows us...more

Anti-Money Laundering Compliance Update: FinCEN Issues Guidance For Financial Institutions Providing Services To Marijuana-Related...

On February 14, 2014, the Financial Crimes Enforcement Network (“FinCEN”) issued its guidance “BSA Expectations Regarding Marijuana-Related Businesses” in an effort to clarify Bank Secrecy Act (“BSA”) expectations for...more

Fiscal Year 2015 H-1B Filings

A reminder that filings requesting an H-1B number for Fiscal Year 2015 (beginning October 1, 2014) can be submitted to USCIS starting April 1, 2014. ...more

Arizona Corporation Commission Recognizes Changing Landscape of Telecommunications

Over the past year, the Arizona Corporation Commission ("Commission") has begun to tailor certain of its regulations to more aptly fit the current landscape of the competitive telecommunications market. Although the changes...more

CMS Extends Deadline for 2013 Meaningful Use Attestations

CMS announced on Friday, February 7, 2014, that the agency is extending the deadline for eligible professionals (EPs) to attest as meaningful users of certified electronic health record (EHR) technology for the 2013 Medicare...more

Changes to California Prevailing Wage Law: Implications for Solar Projects

Recent changes to California’s prevailing wage laws highlight the importance of complying with them. Prevailing wage laws are aimed at ensuring that a contractor’s ability to win a public works contract is not based on paying...more

CFTC Issues Guidance on New Filing Requirements

On February 5, the Division of Swap Dealer and Intermediary Oversight (DSIO) of the Commodity Futures Trading Commission issued guidance to futures commission merchants (FCMs) and depositories regarding procedures for...more

Corporate and Financial Weekly Digest - Volume IX, Issue 6

In this issue: - SEC Division of Corporation Finance Issues Guidance on Rule 506(c) Private Placements - SEC Issues No-action Relief Regarding Registration of M&A Brokers - CFTC Issues Guidance on New...more

Annual FCC CPNI Certification Due by March 3, 2014

This is to remind our clients that the Federal Communications Commission (FCC) requires every telecommunications and interconnected VoIP service provider (including wireless, cable telephony, and even paging and calling card...more

Mandatory Electronic Filing of Certain Documents with the OSC

The Ontario Securities Commission (OSC) recently announced the adoption of OSC Rule 11-501, Electronic Delivery of Documents to the Ontario Securities Commission (Rule). The Rule mandates electronic filing (via an online web...more

Risky Business: Should You Repeat Risk Factors in a 10-Q?

Joel Goodson, the eager and unconventionally entrepreneurial in-house counsel at Lana Co., is on the line with a problem. No, it’s not his missing Steuben crystal egg — instead, he’s asking about the level of detail required...more

Preparation for 2013 Fiscal Year-End SEC Filings and 2014 Annual Shareholder Meetings

As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange...more

Highlights of Changes to 2014 FCC Forms 499-A and 499-Q

On January 31, 2014, the Federal Communications Commission ("FCC” or “Commission”) released the 2014 FCC Forms 499-A and 499-Q and accompanying instructions....more

Tax Appeals in Connecticut: Know When to File

The deadline for appealing local property taxes in Connecticut is approaching. If you are considering appealing local property taxes this year, the following is a general explanation of Connecticut’s appeal procedure and...more

Deadline Approaching for Reporting 2013 ISO Exercises and ESPP Transfers

Deadlines to provide information statements to employees (and former employees) as well as filings to the IRS regarding incentive stock options and employee stock purchase plans are approaching. Companies should be working to...more

FBAR E-Filing and Signature Authority: What You Need to Know

Much has been written about the IRS's dogged pursuit of taxpayers with unreported foreign accounts. These accounts are reported on the Report of Foreign Bank and Financial Accounts (FBAR) when a taxpayer has a financial...more

Executive Compensation and Employee Benefits Alert: IRS Filing and Reporting Requirements for ISO Exercises and ESPP Stock...

This alert is intended to remind you of certain year-end reporting requirements under Section 6039 of the Internal Revenue Code of 1986, as amended (the “Code”), with respect to stock issued to employees (or former employees)...more

Contract Found To Exist Despite Revocation Of The LLC’s Charter Five Years Before The Contract Was Signed

Nevada’s LLC Act requires LLCs to file annually a list of managers or managing members. NRS 86.263. If an LLC fails to do so, the Nevada Secretary of State may revoke the LLC’s charter and it will forfeit the right to...more

Initial TIC B Forms Filing Deadline for Investment Managers on January 15, 2014

Beginning with the period ended December 31, 2013, the U.S. Department of the Treasury expanded the scope of the financial institutions required to report cross-border claims, liabilities and short-term securities holdings on...more

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