Registration

News & Analysis as of

DIR Launches New Mandatory Registration Program for Public Works Projects

The California Department of Industrial Relations (“DIR”) has announced the launch of a new registration program for public works projects authorized by Senate Bill 854, which was signed into law on June 20, 2014, and became...more

Watch Out Stealth Lobbyists

The oft discussed and long-anticipated unregistered federal lobbyist investigation may be occurring as we speak. The recently released 2014 first quarter report of the Office of Congressional Ethics (OCE) disclosed that one...more

Omnicare Petitioners and the United States Battle Over the Scope of Liability for Registration Statements

The Petitioners in Omnicare, Inc. v. The Laborers District Council Construction, No. 13-435 came out swinging in their opening merits brief to the Supreme Court, which granted certiorari earlier this year. See Brief of...more

Cayman Islands Directors Registration and Licensing Law: CIMA Requires Registration or Licensing of Fund Directors by September 3...

Under the Cayman Islands Directors Registration and Licensing Law 2014 (the “Law”), beginning June 4, 2014 directors of (a) “mutual funds” regulated under the Cayman Islands Mutual Funds Law (2013 Revision) and (b) companies...more

Neglecting Trademark Protection Could Be a Costly Mistake

So you’ve formed a new company, launched a new product/service offering, added a new feature to an existing offering, or maybe your company has been doing business and offering products/services for a while now but you still...more

Guidance Provides Path Forward for Accredited Investor Verification

As mandated by Congress in Section 201(a) of the Jumpstart Our Business Startups Act, in July 2013 the Securities and Exchange Commission (SEC) amended Rule 506 under Regulation D of the Securities Act of 1933, creating a new...more

Dethroning a Right to Register a Trademark?

Last month, you will recall we wrote about the important difference between the right to register a trademark and the right to use a trademark...more

Top Ten Things You Need to Know About the Advisers Act

The Investment Advisers Act of 1940 (the Act) is the rulebook for SEC-registered investment advisers (RIAs). The Advisers Act, together with the related rules adopted by the SEC under it, lays down the groundwork as to...more

Overhaul of Washington State Investment Adviser Rules: What it Means for Hedge, Private Equity and Venture Capital Fund Managers...

In June 2014, the Washington State Department of Financial Institutions, Securities Division amended the rules applicable to investment advisers in the state of Washington in Chapter 460-24A of the Washington Administrative...more

Private Equity: The Next Wave of SEC Enforcement Actions?

Ever since the Dodd-Frank Wall Street Reform and Consumer Protection Act required many investment advisers to private equity funds to register with the SEC for the first time, fund managers knew that additional scrutiny might...more

AAA to Require Arbitration Clause Registration as Part of Revamped Consumer Rules

The American Arbitration Association (AAA) announced yesterday that beginning September 1, 2014, it will implement and maintain a publicly available Consumer Clause Registry. This will affect any company that designates the...more

All California Contractors and Subcontractors Involved with Public Works Projects Now Required to Register With State by March 1,...

Urgency Legislation SB 854 Passed by California Legislature - The California Legislature has imposed a new registration requirement for contractors and subcontractors involved with public works projects. Senate Bill...more

Electronic Blue Sky Filings: NASAA Proposes Model State Rules

The North American Securities Administrators Association, Inc. (NASAA) has released model rules relating to the use of its Electronic Filing Depository (EFD) system for Form D and state registration and notice filings. The...more

Certain Merger and Acquisition Brokers Escape SEC Registration

The SEC recently issued a no-action letter that allows private company M&A brokers who satisfy specific criteria to avoid registering as broker-dealers with the SEC. Historically, an intermediary in a private M&A transaction...more

D&O Claims – Overview of US Securities Law

The Securities Act of 1933 (“the 1933 Act”) regulates the process by which securities are first offered and sold to the public, and has two primary objectives: (1) to ensure that investors receive full and accurate...more

SEC Adopts Rules on Cross-Border Security-Based Swap Activities

On June 25, 2014, the Securities and Exchange Commission (“SEC” or “Commission”) unanimously adopted final rules regarding the application of “Security-Based Swap Dealer” and “Major Security-based Swap Participant”...more

Illinois Supreme Court Debates Effect of Failure to Register as Debt Collector

Our reports on the oral arguments during the May term of the Illinois Supreme Court continue with a direct appeal pursuant to Supreme Court Rule 302 – LVNV Funding v. Trice....more

NASAA Seeks Comment on a Model Rule for Electronic Blue Sky Filings

The North American Securities Administrators Association, Inc. (NASAA) posted a web notice requesting comment on model rules that would provide for electronic filings with the states of Form D and other state securities...more

Business Law Newsletter - July 2014

In This Issue: - Redskins Trademark Cancelled - Q&A with Bean, Kinney & Korman - Knowing When and Why to Maintain Your Trademarks - Tortious Interference in Virginia - Improper Methods...more

SEC Adopts Cross-Border Security-Based Swap Rules

On June 25, the SEC adopted the first of a series of rules and guidance on cross-border security-based swap activities for market participants. The rules and guidance explain when a cross-border transaction must be counted...more

Could Offensive Trademarks Find Refuge in Common Law?

The 177-page tome the Trademark Trial and Appeal Board (TTAB) just issued in Blackhorse v. Pro-Football Inc. is remarkable for its length and its subject matter, cancellation of the controversial REDSKINS mark as disparaging...more

A Football Team, by Any Other Name…: USPTO Decision Illustrates that Law is More than Hard & Fast Rules

At Meadowlawn Elementary in the 1960s, my West Michigan friends and I would boast about things that made us "better" than each other. It was the golden age of Superman comics and, while I didn't have super strength or x-ray...more

Trademark Rights around the World: It May Be BUDWEISER® in the US, But Not Everywhere

Anheuser-Busch, the venerable American beer brewer, and Budejovicky Budvar NP, a Czech beer brewer, have been fighting since the 19th century over rights around the world to the BUDWEISER trademark. A Czech town called Ceske...more

SEC Integrates Two Exempt Reporting Advisers to Determine Advisers Act Registration Status

The SEC settled public administrative proceedings against TL Ventures Inc., a venture capital fund adviser (the “VC Fund Adviser”) and Penn Mezzanine Partners Management, L.P. (the “Private Fund Adviser” and with the VC Fund...more

Beyond Disparaging: Five Important Clarifications Regarding Redskins Trademark Decision

Over the past year, debate regarding whether the National Football League’s Washington, D.C. franchise should continue to call itself the Redskins has risen to a fever pitch once again. So, naturally, it was big news when, on...more

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