News & Analysis as of

Filing Requirements Filing Deadlines Compliance

Ogletree, Deakins, Nash, Smoak & Stewart,...

Maine Paid Family and Medical Leave Start Date for Payroll Withholdings and Quarterly Wage Reports Is January 1, 2025

The start date for payroll withholdings and submissions of quarterly wage reports under the Maine Paid Family and Medical Leave (MPFML) Program is January 1, 2025, leaving employers with a sense of urgency as the compliance...more

Perkins Coie

Corporate Transparency Act Midyear Update: Game-Changing FinCEN Guidance and What To Do To Meet Year-End Filing Obligations

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June marked the six-month milestone for the implementation of the Corporate Transparency Act (CTA)—the landmark anti-money laundering law requiring beneficial ownership reporting for U.S. companies that became effective on...more

Verrill

Mid-year assessment: Are you in good shape on CTA compliance?

Verrill on

The Corporate Transparency Act (CTA) will require most privately-owned entities to file Beneficial Ownership Information (BOI) reports with FinCEN no later than January 1, 2025. The purpose of this Client Alert is to check in...more

Parker Poe Adams & Bernstein LLP

EEOC Sues 15 Employers for Failure to File Forms Related to Demographic Information

Companies with 100 or more U.S. employees are required to annually file Form EEO-1 with the Equal Employment Opportunity Commission. The EEO-1 provides demographic information about various classes of employees broken down by...more

Sheppard Mullin Richter & Hampton LLP

The Corporate Transparency Act: Which Business Entities are Impacted and What is Required

Beginning on January 1, 2024, the Corporate Transparency Act (the “CTA”) requires each domestic and foreign entity that qualifies as a “reporting company” to file a Beneficial Ownership Information Report (“BOIR”) with the...more

Lippes Mathias LLP

Important Actions for Necessary Businesses and Entities Affected by the New Corporate Transparency

Lippes Mathias LLP on

Entities and Individuals Required to File a Report: Effective January 1, 2024, the Corporate Transparency Act (“CTA”) now requires a significant number of foreign and domestic businesses and entities in the United States...more

UB Greensfelder LLP

Corporate Transparency Act Brings Changes for Reporting Companies in 2024

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Beginning January 1, 2024, the Corporate Transparency Act (CTA) will require that certain companies that are not otherwise regulated by the government, called “Reporting Companies,” file Beneficial Ownership Information (BOI)...more

Sullivan & Worcester

Corporate Transparency Act: Complying with Beneficial Ownership Rules

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On January 1, 2024, the Corporate Transparency Act (CTA) will go into effect, imposing new reporting obligations that will require entities (LLCs, corporations, partnerships, etc.) formed in or doing business in the United...more

Foley Hoag LLP - Energy & Climate Counsel

NYISO Order No. 2023 Compliance Update: Summary of November 3 Partial Compliance Filing and Summary of November 2 Interconnection...

This post is the second in our ongoing series following the NYISO’s compliance with FERC Order No. 2023. In today’s post, we cover the NYISO’s November 3, 2023 partial compliance filing made with FERC, as well as provide an...more

Jenner & Block

Client Alert: SEC Amends Schedules 13D and 13G Beneficial Ownership Reporting Rules and Filing Requirements

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On October 10, 2023, the U.S. Securities and Exchange Commission (the “SEC”) adopted final rule amendments (the “Final Rules”) that implement various changes to the reporting and filing requirements under Regulation 13D-G...more

Dorsey & Whitney LLP

SEC Accelerates Filing Deadlines for Beneficial Ownership Reports by 5% Shareholders, and Further Amends and Guides Reporting...

Dorsey & Whitney LLP on

On October 10, 2023, the Securities and Exchange Commission (“SEC”) approved amendments to the Regulation 13D-G reporting regime for persons who beneficially own more than 5% of a class of securities (“5% Owners”) that is...more

Tucker Arensberg, P.C.

Pennsylvania's New Annual Business Filing Requirements Starts in 2024

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They know who you are! ...Or, at least, come 2024, will know who you are.  In addition to the federal Corporate Transparency Act, Pennsylvania’s new annual registration regime for entities commences....more

Gardner Law

REMINDER: Nevada Certification Submission Deadline is June 1

Gardner Law on

Nevada state law requires all drug and device manufacturers doing business in Nevada to complete its Marketing Code of Conduct Annual Filing Form (previously referred to as AB128). Completed forms are due June 1st annually,...more

Conyers

Filing Extension for Economic Substance Declarations for In-scope Entities Which Earned No Gross Revenue

Conyers on

The Bermuda Registrar of Companies (the “Registrar”) issued an industry notice on 17 August 2022 confirming that changes required to address certain system errors within the Registrar’s Online Register Portal (the “Portal”)...more

Allen Matkins

No Blue Sky For Almost A Half Century

Allen Matkins on

Kansas claims the pride of place in with its enactment in 1911 of the country's first general securities law.  Kan. L. 1911, ch. 133. Kansas Bank Commissioner J.N. Dolley, the author of that law, is also given credit for the...more

Vedder Price

2020 Annual Compliance Obligation Reminders

Vedder Price on

Investment advisers registered with the U.S. Securities and Exchange Commission (SEC) or with a state, as well as commodity pool operators and commodity trading advisors registered with the U.S. Commodity Futures Trading...more

Skadden, Arps, Slate, Meagher & Flom LLP

Reminders of Recent Updates for Upcoming SEC Filings

The SEC recently adopted amendments to disclosure requirements applicable to various registration statements and periodic reports, including minor changes to applicable form cover pages. ...more

Dechert LLP

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

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The U.S. federal securities laws and the rules of U.S. self regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Broker-Dealer Compliance + Regulation

Division of Investment Management Eases Compliance Deadline for New ADV Filing Requirement

Currently pending amendments to Form ADV have a compliance date of October 1, 2017 and, as of that date, an adviser filing an initial Form ADV or an amendment to an existing Form ADV must use the revised Form ADV. In an...more

Nossaman LLP

Latest Lobbying Disclosure Act Settlement Underscores the Importance of a Robust Compliance Program

Nossaman LLP on

Even if you have nothing to report, you still need to file: that is the lesson from last week's Lobbying Disclosure Act (LDA) settlement. Late last week, DC-based lobbying firm Carmen Group reached an agreement with the...more

Dechert LLP

Reminder: Certain U.S. Reporting and Compliance Obligations for Investment Advisers and Funds

Dechert LLP on

The U.S. federal securities laws and the rules of U.S. self-regulatory organizations (such as the Financial Industry Regulatory Authority) impose certain reporting and compliance obligations on investment advisers and funds....more

Proskauer - Whistleblower Defense

SEC Denies Enforcement Action Award for Failure to Timely File Claim; Narrowly Defines “Extraordinary Circumstances” Exception

As reported by Rachel Ensign of the Wall Street Journal, the Securities and Exchange Commission (“SEC”) recently denied a whistleblower-claimant a Commission enforcement action award where the claimant failed to file timely...more

Mintz

Preparation for 2013 Fiscal Year-End SEC Filings and 2014 Annual Shareholder Meetings

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As our clients and friends know, each year Mintz Levin provides an analysis of the regulatory developments that impact public companies as they prepare for their fiscal year-end filings with the Securities and Exchange...more

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