Registration

News & Analysis as of

California Enacts Bill to Combat Noncompliant Charities

The California State Legislature recently passed Assembly Bill 2077 (“AB 2077”). AB 2077, which was signed by Governor Brown, is designed to make it more difficult for charities that have not complied with their registration...more

Trademark Prosecution 101

Owning a United States trademark registration for a brand confers a number of benefits. This article will help you understand what to consider and what to expect as you select, adopt and apply to register a new trademark....more

New Jersey Physicians—Final Opportunity to Register a Surgical Practice

In early November 2014, the New Jersey Department of Health (DOH) sent a letter to every physician licensed by the New Jersey Board of Medical Examiners (BME) regarding New Jersey’s statutory requirement that every surgical...more

Broker-Dealer Beat - October 2014: Supervising Registered Employees of Foreign Affiliates

Supervising Registered Employees of Foreign Affiliates - NASD Rules 1021(a) and 1031(a) permit a FINRA member to register or maintain the registration as principal or representative of an individual who is engaged in...more

FINRA Proposes Rule Strengthening Background Checks

Last month, the Financial Industry Regulatory Authority (FINRA) issued a proposed rule requiring member firms to strengthen their background investigations of applicants seeking registration. The proposed rule adopts,...more

New York Issues Renewal of Exempt Loan Servicer Registration Requirements

The New York Department of Financial Services (DFS) has announced new procedures that require exempt mortgage loan servicers to renew their registration each year. All renewals for exempt mortgage servicers must be submitted...more

Focus on Private Equity - October 2014

Proposed EU Merger Review of Non-Controlling Minority Shareholding Acquisitions: Challenges and Opportunities for Private Equity - At present, the EU Merger Regulation [Council Regulation (EC) No 139/2004] (the Merger...more

Aboveground Storage Tanks: New Interpretive Rule and Draft Emergency Rule

By the time you are reading this, the October 1 deadline to register all aboveground storage tanks (“ASTs”) in West Virginia has passed, and the world is still turning. If you have not yet registered your ASTs, it is still a...more

CFTC Clarifies and Expands Relief Relating to Delegation of Commodity Pool Operator Responsibilities

On October 15, 2014, the Division of Swap Dealer and Intermediary Oversight (the “Division”) of the Commodity Futures Trading Commission (“CFTC” or “Commission”) issued CFTC No-Action Letter No. 14-126 (“Letter 14-126”),...more

International v domestic US trademark registrations: pick your poison

The USPTO’s statistics for the year to date report that just 2.6% of international trademark applications (Madrid) are approved upon first action, compared to 34.1% of applications via TEAS Plus and 17% by TEAS. For...more

CFTC Staff Issues Self-Executing Registration Relief for Certain Delegating CPOs

On October 15, 2014, the Commodity Futures Trading Commission (“CFTC”) staff issued Letter 14-126 (the “October Letter”), which provides self-executing registration relief to a commodity pool operator (“CPO”) of a fund that...more

FATCA Alert

In recent years, the United States has increased initiatives to counter tax evasion committed by U.S. persons who are not reporting and paying U.S. income tax on earnings derived from foreign financial assets. The Foreign...more

CFTC Staff Issues Revised No-Action Relief from CPO Registration for Certain Delegating CPOs

On October 15, 2014, the Division of Swap Dealer and Intermediary Oversight (“Division”) of the US Commodity Futures Trading Commission (“CFTC”) issued a no-action letter (“Letter 14-126”)1 providing conditional relief from...more

CFTC Staff Allows Self Executing Delegation of CPO Functions

The staff of the Commodity Futures Trading Commission (CFTC) yesterday changed its position and no longer requires a no-action request for delegation of commodity pool operator (CPO) functions from persons that might...more

SEC Requests Comment on Proposed FINRA Rules Regarding Payment to Unregistered Persons

On September 25, 2014, the U.S. Securities and Exchange Commission (the “SEC”) solicited public comment on proposed FINRA rule changes (the “proposal”) that would substantively amend existing NASD and NYSE rules regarding...more

Condominium Law Alert: Condominium Units Now Exempt from ILSA Registration

On September 26, 2014, President Obama signed H.R. 2600, which amends the Interstate Land Sales Full Disclosure Act (“ILSA”) to exempt condominium pre-sales from the registration requirements of the ILSA. ...more

SEC Announces its Reg AB II Registration Statement Pilot Program

On October 6, the SEC announced its Regulation AB II pilot program for registration statements relating to asset-backed securities. The SEC will begin accepting email requests to participate at 9 am ET on October 20. ...more

Generic Top Level Domains - Current Sunrise Periods Open

As first reported in our December 2013 newsletter, the first new generic top-level domains (gTLDs, the group of letters after the "dot" in a domain name) have launched their "Sunrise" registration periods. Please see our...more

ICANN’s gTLD Program – A Look Back and Forward

ICANN’s new Generic Top-Level Domain (gTLD) program has been in full swing for over a year now, so it seems an apt time to examine some statistics as to how brands are engaging with new gTLDs, utilizing the Trademark...more

Renewal Deadline – 1 Year Trademark Clearinghouse Registrations

If your company was an early registrant in the Trademark Clearinghouse, it is likely your registrations had an effective date of November 5, 2014, the date the Clearinghouse went “live.” If so, the deadline to renew one-year...more

How EB-5 Regional Centers and Sponsors Can Evaluate Broker-Dealer, Investment Company and Investment Adviser Registration...

This article is the third in a series of articles on how EB-5 regional centers and sponsors can evaluate broker-dealer, investment company and investment adviser registration requirements under U.S. securities laws. ...more

New exemption under ILSA for condo units: relief for developers, key points to note

President Barack Obama has signed into law an amendment to the Interstate Land Sales Full Disclosure Act of 1968 (ILSA). The new law, signed by the President on September 30, expands registration exemptions under ILSA...more

2016 Diversity Visa Lottery Registration Begins Today

It’s that time of year again. The Department of State will begin accepting requests to register for the 2016 Green Card Lottery. Online registration begins today, October 1, 2014 and will conclude on November 3. The lottery,...more

Diversity Lottery Opens Today (October 1, 2014)

The 2016 Diversity Visa Program (DV-2016) opened at noon today October 1, 2014, and will close at noon (EST) on November 3, 2014....more

It’s Time to Register for the 2016 Diversity Lottery!

On October 1, 2014, the U.S. Department of State will begin accepting requests to register for the 2016 Diversity Immigrant Visa Program (DV-2016), also known as the Green Card Lottery. The Diversity Lottery Program provides...more

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