Recordkeeping Requirements

News & Analysis as of

"SEC Proposes Security-Based Swap Recordkeeping, Reporting and Notification Requirements and Capital Rules for SEC Registrants"

On April 17, 2014, the Securities and Exchange Commission (SEC) proposed new regulations that would implement the recordkeeping, reporting and notification requirements of the Dodd-Frank Wall Street Reform and Consumer...more

CFTC Affords Market Participants a “Second Bite” at the Swap Recordkeeping and Reporting Rules

Last month, the Commodity Futures Trading Commission (CFTC) issued a request for public comment on its swap data recordkeeping and reporting requirements under Part 45 of its regulations. The CFTC adopted Part 45 in 2012...more

CFTC Opens Broad Inquiry Into Swap Data Recordkeeping And Reporting

Following up on its January 21, 2014, formation of an interdivisional staff working group (Working Group) to review its swap data reporting and other provisions of Part 45 of its regulations, on March 19, 2014, the Commodity...more

FINRA Proposes to Amend Rules 2210 and 2214

The Financial Industry Regulatory Authority filed proposed rule changes with the Securities and Exchange Commission to amend FINRA Rules 2210 and 2214. Rule 2210, which governs broker-dealers’ communications with the public,...more

Reminder: Accessibility Record Keeping Certification Required by April 1, 2014

Entities providing traditional telecommunications services, interconnected VoIP, advanced communications services (ACS) (which includes non-interconnected VoIP, electronic messaging services, interoperable video...more

How Do I Correct My Immigration Records After Resolving a Tentative Non-confirmation?

E-Verify compares information from an employee's Form I-9, Employment Eligibility Verification, to information compiled from various government agencies. If the information matches, the employee is eligible to work in the...more

San Francisco "Bans the Box" for Private Employers and City Contractors

The Mayor of San Francisco recently signed an ordinance that prohibits private employers and city contractors and subcontractors (collectively "contractors") from asking job applicants about their criminal histories until...more

San Francisco “Bans The Box” For Private Employers

As we first discussed here, “ban the box” state laws and local ordinances are picking up traction nationwide. Measures vary in scope and nature, but the typical policy bars employers from asking for criminal history...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

Newark City Council Passes Paid Sick Leave Ordinance; Mayor Expected To Approve Measure

Executive Summary: Following Jersey City's lead, New Jersey's largest city is poised to enact an ordinance that would require employers to provide up to 40 hours per year of paid sick time to Newark employees. ...more

The SEC Scores Another Admission: Scottrade Acknowledges That It Broke Recordkeeping Rules

Last week, Scottrade Inc. became the latest entity to admit wrongdoing in connection with settling SEC charges. In a January 29, 2014 administrative order, the brokerage firm not only agreed to a $2.5 million penalty, but...more

Last Week at the FEC: Tracking of Staff Work by State and Local Party Committees

Last week the Federal Election Commission held an opening meeting during which it approved Audit Division recommendations related to the manner in which the Dallas County Republican Party and the Republican Party of Iowa have...more

Update On Initial Filing Requirement And Annual Recapture Report Requirement Contained In The 2013 New York State Budget...

Among other requirements, Chapter 59 of the Laws of 2013 (Part J), effective March 28, 2013 (the “2013 Budget Law”), imposed new sales tax recordkeeping and reporting requirements on industrial development agencies in New...more

Jersey City Employers - Get Ready to Implement Paid Sick Time Policies

Beginning on January 24, 2014, all private employers in Jersey City must make sick time available to their employees, including part-time and temporary employees who work at least 80 hours in a calendar year. The following...more

OSHA Extends Comment Deadline on Proposed Recordkeeping Publication Rule

On January 7, the Occupational Safety and Health Administration (OSHA) announced via the Federal Register that it would extend the deadline for the public to submit comments on OSHA’s proposed revisions to its recordkeeping...more

The Plan Checklist That Every Retirement Plan Sponsor Needs

While they don’t have a book called Retirement Plan Sponsorship for Dummies, they should. So in the interim, here is a checklist that plan sponsors should review that can help them develop good practices and avoid unnecessary...more

SEC Delays Municipal Advisor Registration and Record-Keeping Obligations

The SEC has stayed the implementation date of its final rules establishing a permanent registration and record-keeping regime for municipal advisors until July 1, 2014. The new rules are required by the Dodd-Frank Wall Street...more

Reminder: Post Your 2013 OSHA Recordkeeping Annual Summary By February 1, 2014

Going into 2014, OSHA is continuing its focus of inspecting and, when alleged violations found, citing employers under its recordkeeping standard. Proper recordkeeping has become more critical to employers since OSHA recently...more

The SEC Adopts Final Registration Regime and Record-Keeping Obligations for Municipal Advisors

As required by the Dodd-Frank Wall Street Reform and Consumer Protection Act (the “Dodd-Frank Act”), the Securities and Exchange Commission (the “SEC” or Commission”) adopted on September 20, 2013 final rules and forms...more

CFTC Allows Non-U.S. Entities to Comply with Home Jurisdiction Swap Requirements in Lieu of Certain U.S. Regulations

The CFTC has determined that certain entity-level swap requirements of six non-U.S. jurisdictions are generally “comparable” to those of the Commodity Exchange Act and CFTC regulatory regime. ...more

King v. DAG SPE Managing Member, Inc., C.A. No. 7770-VCP (Del. Ch. Dec. 23, 2013) (Parsons, V.C.)

In this memorandum opinion, the Court of Chancery dismissed an action under Section 220 of the Delaware General Corporation Law brought by a former director to inspect a corporation’s books and records. The Court found that...more

SEC Adopts Amendments Removing References to Credit Ratings from Exchange Act Rules Relating to Broker-Dealer Financial...

The SEC issued Release No. 34-71194 (the “Adopting Release”) adopting amendments under the Securities Exchange Act of 1934 (the “Exchange Act”) that remove references to credit ratings by ratings agencies (including...more

Proposed OSHA Workplace Data Program Could Lead to More Targeted Employer Inspections

OSHA has issued a proposed regulation that, for the first time ever, would require certain employers to submit workplace injury and illness data directly to OSHA in electronic format. After being submitted, the data would...more

Beyond Schrödinger's Cat: Why an Operating Company Can't be an "Investment Company" at the Same Time

Erwin Schrödinger famously illustrated an aspect of quantum mechanics with a cat that is simultaneously both alive and dead. Schrödinger’s cat sometimes comes to mind when we are asked about inadvertent investment companies –...more

OSHA Proposes Changes to its Recordkeeping Rules that Would Make Injury and Illness Data Available to the Public

The Occupational Safety and Health Administration (OSHA) issued proposed rules that would require certain employers to electronically submit injury and illness information to OSHA on a periodic basis. Encouraged by President...more

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