Filing Requirements

News & Analysis as of

The PCT Process - flexible, cost-effective and efficient

Initiated in 1970, the Patent Cooperation Treaty (PCT) has become a popular tool for patent applicants interested in obtaining patents in multiple countries. In 2014, 61,492 PCT applications were filed by U.S. applicants. As...more

Form BE-10 Filing Deadline Looms

Every five years, the Bureau of Economic Analysis of the US Department of Commerce (BEA) conducts a survey concerning the extent of investment abroad by US individuals and entities (US persons). In the past, only US persons...more

Mutual Funds with CFCs: Take Note of BE-10 Reporting Requirements

Mutual funds with Controlled Foreign Corporations may need to file a BE-10 with the Bureau of Economic Analysis or request an extension before the reporting deadline....more

Updated Filing Requirements in Connection with U.S. Inbound and Outbound Investment

Bureau of Economic Analysis Forms BE-13 and BE-10 - Companies should take note that the U.S. Bureau of Economic Analysis (BEA) has announced two updated filing requirements relating to cross-border investment: BE-13...more

You’ve Got Mail: EEOC Rolls Out Online Charge System

The U.S. Equal Employment Opportunity Commission (EEOC) has taken its first steps towards moving to an all-digital charge system. On Wednesday, May 6, 2015, the agency announced that 11 of its 53 field offices would begin a...more

Informed Compliance Period Comes to Its Imminent End for Importer Security Filing

CBP will be increasing enforcement of violations effective May 14, 2015. On May 14, the informed compliance period for Importer Security Filing (ISF) will come to an end and Customs and Border Protection (CBP) will...more

SEC Proposes Pay Versus Performance Disclosure Rules

A divided Securities and Exchange Commission proposed rules on April 29, 2015 that would require U.S. public companies to disclose the relationship between executive compensation “actually paid” and the financial performance...more

Form 10-Q Koans (??)

Many companies have filed or are about to file their Form 10-Qs for their first quarter.  Thus, it seems an opportune time to present the following koans: - Part IV, Item 15 of Form 10-K instructs the registrant to...more

EEOC Set to Roll Out Digital Charge Pilot Program Starting May 1

The U.S. Equal Employment Opportunity Commission (EEOC) is rolling out a new Digital Charge System Pilot Program in several cities across the country as part of its overall strategic plan to digitize all of its records....more

New York City Building Owners Granted One-Time Amnesty of Façade Inspection Safety Program

Under Local Law 11 (LL11), the New York City Department of Buildings requires owners of buildings that are six stories or greater to have exterior walls inspected once every five years. Commonly referred to as FISP (Façade...more

Tax Day Has Passed, But Don’t Forget June 30th!

Now that April 15th has passed, you might be thinking that you are done with tax filings for the year. But, if you have any foreign bank accounts or financial assets overseas, you may be required to file a Form 114 (commonly...more

Financial Services Weekly News Roundup - April 2015 #4

FINRA’s Retrospective Rule Review Process Continues. On April 16, FINRA announced that the FINRA Board of Governors had authorized FINRA to publish a regulatory notice requesting comment on proposed amendments to Rules 2210...more

Blog: Will Congress Shorten The 10-Day Window Applicable To Filing Schedule 13D?

Several public watchdog organizations have sent a letter to the leaders of two congressional committees urging that Congress take action to shorten the 10-day filing period applicable to Schedule 13D....more

SEC Secures Victory on Fraud Allegations Against Technology Executive

The US District Court for the District of Columbia took the unusual step of granting summary judgment against a technology company executive who the Securities and Exchange Commission accused of various violations of the...more

"Annual Meeting Proxy Statement Filing Reminders"

Following are a few points to consider when preparing proxy statement materials for filing with the U.S. Securities and Exchange Commission (SEC) in connection with annual shareholder meetings....more

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

2015 PBGC Premium Filings Must Include Risk Transfer Disclosures

The Pension Benefit Guaranty Corporation (the “PBGC”) recently finalized its premium filing requirements for 2015. In addition to higher premium rates and other more minor changes, plan sponsors are now required to report...more

Upcoming New Jersey Pay-to-Play Filing: Due March 30, 2015

Any business entity holding contracts in 2014 that, in the aggregate, totaled more than $50,000 with state agencies, the legislature, counties, municipalities, school boards and fire districts in New Jersey must...more

Blog: SEC Enforcement Tries To Fix More “Broken Windows”

On Friday, the SEC charged eight officers, directors and major shareholders for failing to update their Schedule 13D stock ownership reports to reflect material changes in connection with several going-private transactions. ...more

SEC Charges 13D Filers With Failure to Disclose Going Private Plans

It’s well known that Federal securities laws require beneficial owners to promptly file an amendment when there is a material change in the facts previously reported by them on Schedule 13D, commonly referred to as a...more

Special IRS Payroll Procedures Issued for Retroactive Increase in Transit Benefits

The IRS issued Notice 2015-2, which provides for a special procedure for employers to address the retroactive increase of the monthly transit benefit exclusion from $130 to $250 for 2014. The notice provides guidance on...more

Six Important Things for Telecommunications Providers to Know When Filing the 2015 FCC Form 499-A

It’s that time again. Spring is in the air, the birds are chirping, the days are longer, and telecommunications providers are required to complete their FCC Forms 499-A, reporting historical revenues for calendar year 2014....more

Reminder: Filing Deadline is Near for Qualification Amendments to Puerto Rico Qualified Retirement Plans

The annual deadline to file plan qualification amendments with the Puerto Rico Treasury (the "Hacienda") for most qualified retirement plans that cover Puerto Rico residents is fast approaching: for plan sponsors filing taxes...more

Co-Bidder Status in Tender Offers

The recent Allergan litigation in California District Court involved the allegation that Pershing Square Capital Management, LP (together with certain of its affiliates, “Pershing Square”) had violated the prohibition, under...more

Calling All Government Contractors: Upcoming New Jersey Political Contribution Disclosure Form

For government contractors, the start of a new year brings with it a host of filing requirements in many states along the Northeast Corridor. Although some states (such as New York and Connecticut) do not impose annual or...more

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