Disclosure Requirements

News & Analysis as of

The Double Whammy: Cubist’s Recent FCPA Disclosure

In the FCPA enforcement world, corporate disclosures of potential violations carrying significant messages. Cubist Pharmaceuticals (Cubist) disclosed in a Form 10-Q that its subsidiary, which it acquired last year...more

No RESPA Respite - Continued

The CFPB continues to crack down on basic RESPA violations. On August 12, 2014, the CFPB announced yet another Consent Order with alleged violations of RESPA. In this case, an on-line retail mortgage company, the company’s...more

In Wyoming, a Higher Burden for Chemical Disclosure Exemption?

In Powder River Basin Resource Council v. Wyoming Oil and Gas Conservation Commission, the Wyoming Supreme Court held that the Wyoming Oil and Gas Conservation Commission has the burden of justifying the use of trade secrets...more

Amnesty International Continues to Push for En Banc Rehearing in Conflict Minerals Case

Amnesty International has filed a supplemental brief which continues to advocate for a rehearing en banc in the conflict minerals case. The argument is this: American Meat Institute v. U.S. Department of Agriculture...more

Disclosure At The Mobile Check-Out: The FTC's View On Mobile Shopping Apps

In its August 1st report entitled "What's the Deal — An FTC Study on Mobile Shopping Apps," the FTC provides guidance on various disclosures that should be made by mobile apps along with reinforcing a number of prior...more

The JOBS Act and IPO Volume

An academic study titled “The JOBS Act and IPO volume: Evidence that disclosure costs affect the IPO decision” (Dambra, Field, and Gustafson, available through SSRN) provides an interesting analysis of the effect of the JOBS...more

Potential Blacklisting of Government Contractors Based on Labor Law Violations

On July 31, 2014, President Obama signed Executive Order 13673, which will require companies bidding on federal contracts to disclose to agency contracting officers any violations (whether by administrative merits...more

FinCEN Seeks to Turn Beneficial Ownership Disclosure of Private Entities on its Head

My colleagues over at our banking blog have highlighted proposed regulations by the Financial Crimes Enforcement Network, or FinCEN, under the Bank Secrecy Act which are meant to combat illicit financial activity, including...more

FTC Reports Mobile Shopping App Consumer Disclosures Are Insufficient

On August 1, the FTC released a staff report on the agency’s review of shopping apps—those used for comparison shopping, to collect and redeem deals and discounts, and to complete in-store purchases. ...more

Sunshine Ordinance Preempted by City Charter Provision Creating Attorney-Client Privilege

The First District Court of Appeal determined that City of San Francisco (“City”) resident Allen Grossman (“Grossman”) was not entitled to documents related to the development of certain San Francisco Ethics Commission...more

SEC Brings Another Bond Case Against A State

The SEC’s nationwide review of municipal bond disclosures yielded another enforcement action, this time against the state of Kanas. The Order centers on claims that the state failed to disclose its huge unfunded pension...more

President Obama Signs Executive Order Requiring Federal Contractors to Disclose Labor Violations

Last week, the White House continued its efforts to advance its labor agenda through measures not requiring congressional approval. The president signed an executive order that will require certain federal contractors to...more

EBA Publish Final Draft RTS on Equity Exposures

On August 5, EBA published its final draft regulatory technical standards (RTS) specifying the treatment of equity exposures according to Article 495(3) of Regulation No 575/2013 Capital Requirements Regulation (CRR). ...more

OFCCP Will Require Contractors to File Equal Pay Report

Implementing the President's April 2014 Memorandum directing the Department of Labor to develop a data collection tool to advance the goal of pay equity, the Office of Federal Contract Compliance Programs (OFCCP) has...more

Executive Order Continues Focus on Labor Laws for Contractors

Under an Executive Order signed by President Obama on July 31, 2014, contractors and subcontractors are faced with a wave of new obligations concerning labor laws and pre-dispute arbitration agreements. The provisions of the...more

Federal Contractors May Lose Contracts Because of Labor and Employment Law Violations

And here we go again. We have noted that the National Labor Relations Board is aggressively expanding employee protections and organized labor opportunities, that the EEOC has decided to claim many common provisions of...more

Reg A+ Challenged Again

Another letter to the SEC from the Hill challenges the Regulation A+ proposal. This time, the authors question the authority of the SEC in defining “qualified purchaser” as an offeree or purchaser in a Tier 2 Reg A+...more

Another Hoop For Government Contractors: The Fair Pay and Safe Workplaces Executive Order

On Thursday, July 31, 2014, President Obama signed another in a series of recent Executive Orders targeting employment practices of federal government contractors and subcontractors. Under the “Fair Pay and Safe Workplaces”...more

Federal Contractors Beware – Part 4

On August 6, 2014, the Office of Federal Contract Compliance Programs (OFCCP) released a proposed rule requiring federal contractors to provide “summary” compensation data, as instructed by President Obama in his April 8,...more

Weekly Update Newsletter - August 2014 #2

In this issue: - Obama Signs Order Boosting Federal Contract Worker Rights - DoD Issues Interim Rule to Amend DFARS Foreign Commercial Satellite Services (DFARS Case 2014-D010) - Obama Administration...more

Deadlines Applicable to Colleges and Universities Approaching for Participation in SEC’s Continuing Disclosure Cooperation...

On March 10, 2014, the Securities and Exchange Commission (“SEC”) announced a voluntary self-reporting program for issuers and underwriters of municipal bonds for reporting of inaccurate statements made in offering documents...more

Executive Order Adds New Compliance Requirements for Federal Contractors

On July 31, 2014, President Obama signed the Fair Pay and Safe Workplaces Executive Order in an effort to crack down on federal contractors with a history of violating employee rights. Beginning in 2016, both the government’s...more

CFPB calls out banks for not publicly disclosing campus financial product marketing agreements

According to a new blog post about “secret banking contracts” by Rohit Chopra, the CFPB’s Student Loan Ombudsman, the CFPB is sending letters to colleges and universities “to make sure they know that their bank partner has...more

Government Contractors Facing Increasing Employment-Related Regulations

The heavily regulated world of companies conducting business as federal government contractors is becoming even more heavily regulated. President Obama recently issued another new executive order setting out additional...more

"Fair Pay and Safe Workplaces" Executive Order Requires Government Contractors to Disclose Labor Violations and Restrict Use of...

On July 31, 2014, President Obama signed the "Fair Pay and Safe Workplaces" Executive Order, which imposes new requirements on federal contractors to disclose labor violations and also prohibits certain government contractors...more

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