News & Analysis as of

OSHA Updates Reporting and Recordkeeping Rule – New Rules Take Effect January 1, 2015

OSHA just announced updates to its reporting and recordkeeping requirements for injuries and illnesses, found at 29 CFR 1904. The updates include changes to who is required to comply with the recordkeeping rules, and expands...more

CFTC Staff Issues Relief from Ownership and Control Reporting Rules

The conditional, time-limited no-action letter extends certain compliance deadlines under the new rules. On November 18, 2013, the US Commodity Futures Trading Commission (CFTC) published final rules on Ownership and...more

Going Paperless? Legal Guidelines & Tips for a Paperless HR Department

In today’s high-tech business environment, it is commonplace for employers to digitize personnel documents. Maintaining these documents in electronic form has obvious benefits, including ease of accessibility and storage...more

OSHA Update: A Tale of Two Proposed OSHA Regulations

Back in February, we mentioned that public comments were being accepted on OSHA's proposed rule that would require employers with more than 250 employees to electronically report to OSHA their OSHA 300 (the injury and illness...more

SEC Proposed Rules: Recordkeeping and Reporting for SBSDs, MSBSPs and BDs; Capital Rules for Certain SBSDs

The SEC has proposed recordkeeping and reporting rules and capital charges for security-based swap dealers based on the current broker-dealer reporting and recordkeeping regime. Market participants in the derivatives...more

Poor Record Keeping = Going to the Poor House (or, why project documentation matters)

You are an engineer or architect. You understand the importance of thorough designs. What about thorough documentation of the daily happenings on the construction project? That is equally important....more

The Financial Report - Volume 3, No. 10 • May 2014 (Global)

News from the Americas - High-speed trading. Bloomberg discussed US Senate Agriculture Committee hearings on high-speed trading. Former CFTC economist Andrei Kirilenko said that new books and records requirements and...more

Corporate and Financial Weekly Digest - Volume IX, Issue 17

In this issue: - Proposed Amendments to Delaware General Corporation Law and Courts and Judicial Procedure Law - SEC Division of Corporation Finance Issues New C&DIs Relating to Social Media Use - FINRA...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

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

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

Retail Industry Update, No. 4, December 2013: New Year's Resolutions: Five Areas Of Focus For 2014

The Affordable Care Act has dominated the headlines of employment newsletters (justifiably) for the last six months. It will continue to be an area of focus for all employers. But don’t lose sight of the fact that all the...more

NEWSFLASH: OSHA Sets Public Hearing on Publishing Employer’s Recordkeeping Logs for January 9, 2014

On November 15, the Occupational Safety and Health Administration (OSHA) announced via the Federal Register that it would hold an informal public hearing on its controversial proposal to publish online employer’s injury and...more

OSHA Proposes Major Recordkeeping Change

The Occupational Safety and Health Administration (OSHA) has proposed a major change to its rules regarding the way that employers report injury and illness data to the agency. ...more

Careful Recordkeeping Key to Software Compliance

Keli Johnson Swan, Scott & Scott, LLP, says it is important to keep hardware and software receipts, regardless of the date of purchase. When faced with a software audit, diligent recordkeeping can resolve the audit more...more

SEC Adopts Changes to Broker-Dealer Net Capital and Financial Responsibility Rules

The US Securities and Exchange Commission recently adopted important changes to the financial responsibility rules for securities broker-dealers, including changes to the regulatory capital and regulatory reporting rules. The...more

DoL (Yes, The DoL!) Pays Big Settlement In Whistleblower Case

Earlier this month, the U.S. Department of Labor (DoL) settled a whistleblower claim brought by Robert Whitmore, a former DoL recordkeeping official, for $820,000....more

SEC Targets Another Fund Board in Recent Enforcement Case

The U.S. Securities and Exchange Commission (“SEC”) recently issued an Order Instituting Proceedings (“Order”) against the administrator and compliance services provider, as well as current and former members of the boards of...more

Enterprise Risk Management: The benefits of online policy and procedure management systems

ABSTRACT - Operational inefficiencies, sub-optimal patient care, financial losses and missing or ineffective sanctions for non-compliance are all potential outcomes that can stem from passive policy and procedure management....more

California Fair Claims Settlement Practices Regulations

Table of Contents: Introduction; PART ONE - Summary of Fair Claims Settlement Practices Regulations; Introduction; Claims Handling Duties; Acceptance or Rejection of Claims; Settlement Offers and Payment of Accepted...more

SEC Settles with Service Providers and Trustees of two Mutual Fund Trusts for Inaccurate Disclosures Regarding Section 15(c)...

On May 2, 2013, the SEC filed an order instituting settled administrative proceedings against the trustees (“Trustees”) and certain service providers of two “turnkey” open-end series investment companies, Northern Lights Fund...more

32 Results
|
View per page
Page: of 2