News & Analysis as of

Disclosure Requirements Registration

Venable LLP

Tennessee and Utah Amend Charitable Solicitation Laws: New Filing, Disclosure, and Other Obligations Affect Fundraising Compliance...

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Tennessee and Utah have revised the scope of their charitable fundraising laws. These changes will affect how and what nonprofit organizations registered to solicit in those states must disclose to state charity regulators....more

Morrison & Foerster LLP

Register of Overseas Entities Owning UK Property – Key Requirements

Executive Summary: the 30-second brief- The enactment of the Economic Crime (Transparency and Enforcement) Act 2022 means that clients will need to review their property portfolio. Where overseas entities are the...more

Fox Rothschild LLP

Don't Forget: For Most Nonprofits, the May 16 Tax Deadline Should Prompt a ‘Start of the Year’ Review

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The IRS Form 990/990-PF deadline is fast approaching for most nonprofit organizations. This deadline should also prompt nonprofits to engage in a start-of-the-year review of its state filings, insurance coverage, donor...more

Winstead PC

The Division of Examinations’ Continued Focus on Digital Asset Securities and Implications for Investment Advisers

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If you are a securities industry participant seeking to engage in digital asset-related activities, it is time to develop and enhance your compliance practices, says a risk alert by the SEC’s Division of Examinations. ...more

Sheppard Mullin Richter & Hampton LLP

SEC Tightens Alternative Trading Platform Oversight

On July 18, 2018, the SEC ramped up its oversight of alternative trading systems (“ATSs”) by adopting a series of rule amendments imposing public disclosure requirements on ATSs that trade NMS (“National Market System”)...more

Vedder Price

Annual Compliance Obligation Reminders

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Investment advisers registered with the U.S. Securities and Exchange Commission (“SEC”) or with a state (“Advisers”) as well as commodity pool operators (“CPOs”) and commodity trading advisors (“CTAs”) registered with the...more

Perkins Coie

Proposed Legislation Boosts Enforcement of Foreign Agents Registration Act

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U.S. Senate Judiciary Chairman Chuck Grassley introduced the “Disclosing Foreign Influence Act” last week, a Senate bill which would amend the Foreign Agents Registration Act (FARA), to remove an exemption from registration...more

Carlton Fields

The ILSA Condo Exemption – Not Out of the Woods Yet

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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

Proskauer Rose LLP

Broker-Dealer Beat - June 2015: Foreign Finders

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Foreign Finders - The longstanding rules on foreign finders – when a brokerage firm can pay transaction-based compensation to a non-registered foreign finder – will be incorporated into new FINRA Rule 2040, effective...more

Eversheds Sutherland (US) LLP

The SEC Releases Regulations on Reporting and Dissemination of Security-Based Swaps Data

On February 11, 2015, the Securities and Exchange Commission (SEC) published final regulations that will require Swap Data Repositories (SDRs)1 to register with the SEC (Regulation SDR) and prescribe reporting and public...more

Stoel Rives LLP

Condominium Law Alert: Condominium Units Now Exempt from ILSA Registration

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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

Carlton Fields

Private Equity: The Next Wave of SEC Enforcement Actions?

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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

Katten Muchin Rosenman LLP

NFA Adopts Fee for Registration Non-Disclosures

National Futures Association (NFA) has adopted a rule requiring firms and individuals to pay $1,000 fines for failing to disclose disciplinary matters on registration applications or failing to update existing registration...more

Skadden, Arps, Slate, Meagher & Flom LLP

Are You a Foreign Private Issuer?

As part of its long-standing policy to encourage foreign companies to access the U.S. capital markets, the United States Securities and Exchange Commission (SEC) historically has made significant regulatory accommodations to...more

Polsinelli

Update: SEC Releases Long-Awaited Proposed Crowdfunding Rules

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In This Issue: - Requirements and Obligations Governing Crowdfunding Offerings - Regulation of Crowdfunding Portals - Additional Notable Provisions of the Proposed Rules - Next Steps - For More Information...more

Snell & Wilmer

Global Connection - November 2013: Entering the U.S. Franchise Market: a Summary of Legal Considerations

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Franchisors that have developed successful programs in their home countries will frequently consider expansion opportunities in other countries. In the past, the U.S. was not necessarily an attractive venue in light of the...more

Holland & Knight LLP

DDTC Ups the Ante on Data Gathering from ITAR-Registered Companies and Introduces Electronic Filing

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Pursuant to the International Traffic in Arms Regulations (ITAR), the U.S. Department of State Directorate of Defense Trade Controls (DDTC) has issued a revised Statement of Registration (DS-2032) form and now allows it to be...more

Snell & Wilmer

A Glimmer of Hope for Condominium Developers

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On September 26, 2013, the House of Representatives took a major step in simplifying the sale and lease process for condominium developments, voting 410/0 in favor of H.R. 2600, introduced by New York Republican...more

Orrick - Finance 20/20

Second Circuit to Issuers: You Need Not Disclose Every Single Asset in Your Registration Statements

Orrick - Finance 20/20 on

On September 25, the Second Circuit upheld dismissal of claims against defendant Royal Bank of Scotland (RBS) for alleged failure to disclose enough information about its exposure to subprime mortgages. In so doing, the Court...more

Ballard Spahr LLP

New CFPB Enforcement Action Involving Alleged ILSA Violations

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As we reported earlier this year, the CFPB was actively investigating a company called 3D Resorts-Bluegrass, LLC for possible violations of the Interstate Land Sales Full Disclosure Act (ILSA)....more

Dechert LLP

AIFMD: Impact on US Investment Advisers

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In This Issue: - Introduction - Overview: Four key ways that US investment advisers are affected by AIFMD - Marketing funds in the EEA - Managing EEA domiciled funds - Sub-adviser to an EEA manager ...more

Holland & Knight LLP

U.S. Attorney Seeks $33 Million Lobbying Disclosure Act Penalty

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The U.S. Attorney's Office for the District of Columbia filed a complaint on June 7, 2013, seeking up to $33 million in fines against a consulting firm for violations of the Lobbying Disclosure Act of 1995 (LDA), as amended....more

Katten Muchin Rosenman LLP

SEC Division of Corporation Finance Issues 13 New and Revised C&DIs

On May 16, the Securities and Exchange Commission’s Division of Corporation Finance issued 13 new and revised Compliance and Disclosure Interpretations (C&DIs) on a range of topics under the Securities Act of 1933 (Securities...more

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