Proposed Regulation

News & Analysis as of

Proposed AML Regulations for Registered Investment Advisers Released by FinCEN

On August 25, 2015, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) released proposed rules that would require investment advisers that are registered or required to be registered (RIAs)...more

Financial Services Weekly News - September 2015

Regulatory Developments - California Department of Business Oversight Permits Money Transmitter to Treat Customer Funds in Designated Custodial Account as “Eligible Securities” - The California Department of...more

FCC may be close to allowing broadcasters to disclose contest terms online

The Federal meeting on September 17, 2015, lists as one of the two subjects to be discussed: “Modernizing contest rules. The Commission will consider a report and order to provide broadcasters greater flexibilities in their...more

FinCEN Proposes New Anti-Money Laundering Rule For Investment Advisers

On August 25, the U.S. Department of Treasury’s Financial Crimes Enforcement Network (FinCEN) released a Notice of Proposed Rulemaking (NPRM), which would impose anti-money laundering (AML), suspicious activity reporting,...more

Reed Smith Instrumental in New Proposed Regulations Concerning the Sales Taxation of Shipping Charges in Illinois

On August 28, 2015, the Illinois Department of Revenue’s (the “Department”) proposed regulations clarifying the Department’s position on the sales taxation of shipping charges were posted to the Illinois Register, commencing...more

Bridging the Week - August 2015 #5

Charles Schwab Fined US $2 Million by FINRA for Net Capital Deficiencies: Charles Schwab & Co. agreed to pay US $2 million to the Financial Industry Regulatory Authority to resolve allegations that it had net capital...more

FinCEN Proposes New Anti-Money Laundering Rules for Investment Advisers

On August 25, 2015, the Financial Crimes Enforcement Network (FinCEN), a bureau of the US Department of the Treasury, released proposed rules that would extend anti-money laundering (AML) requirements to investment advisers...more

Summary of PTO’s Proposed Rules Changes for AIA Proceedings

The America Invents Act (AIA) was enacted into law on Sept. 16, 2011, and the U.S. Patent and Trademark Office implemented rules for governing the inter partes review, post-grant review, transitional program for covered...more

The American Bar Association Joins Growing Chorus Of Groups Raising Concerns About Fair Pay And Safe Workplaces Regulations

On August 26, 2015, the Section of Public Contract Law of the American Bar Association (“ABA”) submitted public comments to the General Services Administration (“GSA”) and the U.S. Department of Labor (“DOL”) on their...more

DOL Won’t Extend 60-Day Comment Period on Proposed Revisions to “White Collar” Exemptions

U.S. Department of Labor Wage and Hour Division chief David Weil reportedly told Congress yesterday that the agency won’t extend the 60-day public comment period for its proposed revisions to the FLSA’s “white collar”...more

FinCEN Proposes Anti-Money Laundering Rules for Registered Advisers

The Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) on August 25, 2015 proposed rules to require SEC- registered investment advisers to adopt and maintain anti-money laundering (AML) programs and to...more

FCC Proposes Reform of Radiofrequency Equipment Authorization Rules

Faced with the rapid growth of increasingly complex wireless products, the FCC proposes to upgrade its equipment authorization program to prevent harmful interference without stifling innovation and product development....more

Federal Court Vacates STEM Extension Program

Current STEM OPT holders not affected until February 2016. A federal judge's ruling earlier this month invalidated the 17-month extension of optional practical training (OPT) for international students in the science,...more

Privacy in financial markets, not to be ignored

The Article 29 Working Party published a letter it sent to the European Commission urging it to consider the data protection and privacy issues when adopting the secondary regulations (‘Regulations’) necessary to implement...more

FDA’s Proposed Naming Convention for Biologics

On August 27, 2015, the Food and Drug Administration (FDA) released draft guidance on nonproprietary naming of biological products. The agency’s draft guidance proposes that the core nonproprietary name for originator...more

Proposed New ABC Rules For North Carolina Distilleries Selling Direct to Consumers

The North Carolina ABC Commission has drafted proposed temporary rules governing direct-to-consumer sales by distilleries. The proposed rules are a result of HB909, the ABC omnibus legislation signed by Governor McCrory on...more

FinCEN Proposes AML Program Rule for Investment Advisers

The Financial Crimes Enforcement Network (FinCEN) has issued a proposed rule that would subject certain investment advisers to AML requirements under the Bank Secrecy Act (the BSA). In proposing the rule, FinCEN cited...more

Comprehensive Care for Joint Replacement: CMS adopts mandatory approach to payment reform

On July 9, 2015, the Centers for Medicare and Medicaid Services (“CMS”) issued a proposed rule that seeks to implement a mandatory episode-based payment model for lower extremity joint replacement (and reattachment) care in...more

Biological/Biosimilar Nonproprietary Naming Guidance and Proposed Rule for Certain Proposed Nonproprietary Names for...

On August 27, 2015, FDA released a long-awaited draft guidance entitled “Nonproprietary Naming of Biological Products” (the “Draft Guidance”). The Draft Guidance sets forth a naming convention for all biological products –...more

Potential Game Changers: Roundup of Legal Changes in the China Payments Industry

DOMESTIC BANK CARD CLEARING MARKET OPENS UP Only a few months ago, the State Council's announcement of the Decision on the Implementation of Market Access Administration in relation to Bank Card Clearing Institutions...more

CMS Publishes Corrections to Comprehensive Care for Joint Replacement Model Proposed Rule

On August 25, 2015, the Centers for Medicare & Medicaid Services (CMS) published technical and typographical corrections to its July 14, 2015 proposed rule to establish a Comprehensive Care for Joint Replacement Model. As...more

Financial Services Weekly News - August 2015 #4

Regulatory Developments - CFTC Issues Proposed Amendments to Swap Data Recordkeeping and Reporting Requirements for Cleared Swaps: On Aug. 19 the CFTC announced that it had voted to propose amendments to existing...more

FinCEN Rule Proposes AML Regulations for Registered Investment Advisers

On August 25, the Financial Crimes Enforcement Network (“FinCEN”) proposed an anti-money laundering rule applicable to investment advisers registered with the U.S. Securities and Exchange Commission (the “SEC”). The issuance...more

Major Changes to Overtime Regulations for "White Collar" Workers

On July 6, 2015, the U.S. Department of Labor (“DOL”) issued proposed new regulations that will significantly change the law governing certain “white collar” workers who are exempt from minimum wage and overtime pay. All...more

Is One APJ Enough For Post Grant Institution Decisions?

A pilot program proposed by the U.S. Patent and Trademark Office would have a single Administrative Patent Judge (APJ), as opposed to a panel of three, decide whether to institute trial in a post grant patent proceeding, such...more

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