Registration

News & Analysis as of

US Commodity Futures Trading Commission Issues Orders of Registration to Five Foreign Boards of Trade to Permit Trading by Direct...

The CFTC issued Orders of Registration (Orders) to the following Foreign Boards of Trade (FBOT): (i) Eurex Deutschland; (ii) CME Europe Limited; (iii) ICE Futures Europe; (iv) The London Metal Exchange; and (v) London Stock...more

Blog: New CDIs Regarding Registration Fees And Form S-8

More new CDIs from Corp Fin, some relating to Form S-8 and the computation of registration fees under Rule 457: - Rule 457 – Computation of Fee - Revised 240.11 Rule 457(p) permits filing fees to be transferred only...more

DEA Posts Significant Change to Registration Renewal

The DEA recently posted to its website notice of a significant change to its registration renewal process. This change eliminates the informal grace period which the DEA had previously allowed registrants to renew their...more

Branding Revisited: Takeaways From the 2016 Managing the Trademark Asset Lifecycle Conference

Last week I was fortunate to attend the Managing the Trademark Asset Lifecycle Conference, hosted by World Trademark Review. The topics discussed throughout the day touched on everything from assessing portfolio strength and...more

Coming Soon to a Lawbook Near You – New Cosmetic Requirements

Back in April 2015, Senators Dianne Feinstein (D-CA) and Susan Collins (R-ME) introduced the Personal Care Products Safety Act (S.1014). More recently, on September 22, 2016, the Senate Health, Education, Labor, and Pensions...more

Corp Fin Issues Three New and Revised Interpretations of the Securities Act Rules

On October 19th, the Division of Corporation Finance released three new and revised Compliance and Disclosure Interpretations (C&DIs) concerning the Securities Act. Revised C&DI 271.04 and new C&DI 271.21 relate to exempt...more

The ILSA Condo Exemption – Not Out of the Woods Yet

The Interstate Land Sales Full Disclosure Act (ILSA) is a federal statute that aims to prevent land sales fraud and uninformed purchases of unimproved real property by requiring registration of subdivisions with the Consumer...more

Location, Location, Location: Personal Jurisdiction in Products Liability Lawsuits

As every manufacturer, distributor, advertiser, or retailer of consumer products likely knows, the location where a lawsuit is brought can have a large impact on the ultimate resolution of the matter. Whether because of...more

SEC's Filing Fees Increase 15 Percent Effective October 1, 2016

On August 31, 2016, the Securities and Exchange Commission (SEC) announced that in fiscal year 2017, the fees that public companies and other issuers pay to register their securities with the SEC will be increased from...more

USPTO Issues Notice of Roundtable and Request for Comments on Importing Prior Art Automatically and Streamlining Patent Issuance

Last month, the U.S. Patent and Trademark Office published a notice in the Federal Register (81 Fed. Reg. 59197) requesting written comments regarding two issues: (1) how the Office can better leverage other applications...more

Dam Safety Ad Hoc Committee Update - Public Policy Alert from the South Carolina State House

David Wilson from the Department of Health and Environmental Control (DHEC) addressed the Dam Safety Ad Hoc Committee to give members an update on the current status of dams across South Carolina. He informed the Committee...more

Mutual Funds Should Consider Accelerating Filings in Advance of Substantial Increase in SEC Registration Fee Rate

As a result of upcoming increases in securities registration fee rates applicable to mutual funds, funds with fiscal year ends of July or August and net sales should consider accelerating their annual Rule 24f-2 filings. ...more

Suspending Franchise Sales

In several states that require franchise registration, it is a good idea to suspend franchise sales while an amendment or renewal application is pending with the state.  Franchisors commonly suspend franchise sales pending...more

SEC Updates Form ADV

The SEC has adopted final rules requiring investment advisers to provide additional information on Form ADV and other matters. The final rules: - require information about an investment adviser’s separately managed...more

CFPB Solicits Information On Registration System For Nonbanks

In a Request for Information (RFI) posted on the Federal Business Opportunity website last month, the Consumer Financial Protection Bureau (CFPB) solicited information from vendors so it can "better understand current,...more

Court: Web Registration Did Not Establish User Assent to Arbitration Agreement

Perhaps overshadowed in the raging battle over the Consumer Financial Protection Bureau's proposal to ban the use of class action waivers in consumer arbitration agreements involving consumer financial products or services is...more

Yet Another Congressional Proposed Corporate Reform: Proxy Advisory Firms in the Crosshairs.

Over the past six months, U.S. legislators have engaged in an unusual burst of energy to introduce three separate bills regulating various areas affecting U.S. public company corporate governance: - The Cybersecurity...more

FAA issues long awaited Small Unmanned Aircraft Systems Regulations

New Law Goes into Effect August 29, 2016 - After many months, the Federal Aviation Administration (FAA) has issued regulations towards integrating Unmanned Aerial Systems (UAS, also called Drones) into the national...more

Environmental Interest Groups Challenge Registrations of Neonicotinoid Products in Federal Court

On July 6, 2016, the David Suzuki Foundation, along with Friends of the Earth Canada, Ontario Nature, and Wilderness Committee, brought two judicial review applications against the Minister of Health and registrants of the...more

Trademark Series: Words in a Foreign Language

A word that clearly describes a particular product or service cannot function as a trademark for that product or service. The Trademarks Act phrases this idea in a more formal way: section 12(1)(b) says that a trade-mark is...more

Cease and Desist Proceedings Against an Asset Manager for Acting as an Unlicensed Broker-Dealer

Industry participants are well-advised to review their practices to ensure compliance with the Advisers Act, and the SEC’s and SEC’s Staff’s interpretations of when registration as a broker-dealer is required....more

Proposed New North Carolina Law Would Modify Annual Permit Registration Fees for Beer and Wine

North Carolina Senate Bill 833 proposes to reduce the annual registration fees paid by persons holding malt beverage, fortified wine, and unfortified wine permits in North Carolina. Currently, these beer and wine permit...more

SEC Completes JOBS Act Rulemaking with Amendments to Exchange Act Registration Rules

The SEC recently adopted rules implementing Title V and Title VI of the Jumpstart Our Business Startups Act (the “JOBS Act”) and Title LXXXV of the Fixing America’s Surface Transportation Act (the “FAST Act”). Title V and...more

Designs law reform in Australia: Prior art base, Grace periods, Screen displays and other changes

May 2016 - The Australian Government has responded to a series of recommendations for reform of Industrial Designs Law by the Advisory Council in Intellectual Property (ACIP). ACIP made 23 recommendations in its final report,...more

New Online Opportunities for .store and .stream Domain Names

Several new unrestricted generic Top Level Domains (gTLDs), such as .store and .stream, are now available, with several others set to launch soon. You are afforded a short window of time, referred to as the Sunrise...more

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