News & Analysis as of

Record Retention

Sexual Harassment Dominates California Legislation in 2018

by Fisher Phillips on

As we discussed back in January, sexual harassment appears to be the hot topic for the California State Legislature’s 2018 session. This is certainly not a surprise, as issues related to sexual harassment and the #MeToo...more

Discovery In FLSA Cases May Soon Hit The Fast-Track

by Fisher Phillips on

Early discovery in cases brought under the Fair Labor Standards Act (“FLSA”) may be changing significantly if courts begin to adopt the new Initial Discovery Protocols For Fair Labor Standards Act Cases Not Pleaded As...more

SEC Delays Form N-PORT Filing Requirements 

On December 8, 2017, in connection with its ongoing review and assessment of EDGAR, its data needs and other systems, the Securities and Exchange Commission (the SEC) announced it is modifying its approach to submitting...more

New Year And New Legal Considerations: A Careful Review Of Corporate Document Retention Policies Should Be A Part Of Your New...

by Seyfarth Shaw LLP on

There are many competing business and legal considerations that can shape corporate record retention policies. Federal and state governments have enacted statutes, and agencies have issued myriad regulations that require...more

Regulations Adopted for Retail and Fast Food Establishments Under NYC “Fair Workweek” Law

by Davis Wright Tremaine LLP on

The NYC Department of Consumer Affairs has adopted regulations regarding the Fair Workweek Law (“FWL”), which place detailed requirements that severely limit the flexibility and operational discretion of covered employers...more

Bridging the Week - November 2017 #2

by Katten Muchin Rosenman LLP on

Trading Firm and Broker Affiliate Settle CFTC Enforcement Action for Trading Firm’s Alleged EFRP Transactions With Insufficiently Correlated Futures and Physical Legs: FCStone Merchant Services LLC and INTL FCStone Financial...more

Should You Hoard Records If Benefit Claims Live Forever?

by Miles & Stockbridge P.C. on

Human-resource professionals are a notoriously organized and efficient bunch. So it’s no surprise that we are often asked, “How long should I keep benefit plan records?” There’s no simple answer, unfortunately, and a...more

Bridging the Week - October 2017 #2

by Katten Muchin Rosenman LLP on

Treasury Calls for Better Coordination to Improve SEC and CFTC Efficiencies; Recommends Review of SROs to Minimize Conflicts and Increase Transparency: Last week, the US Department of Treasury called for more coordination...more

Revoked: CMS's New Take on Record Retention and Access

Recently, we have noticed an alarming increase within the Spilman footprint of revocations by the Centers for Medicare & Medicaid Services ("CMS") of physicians' Medicare billing privileges. In particular, CMS has been...more

SuperVision - Labor & Employment Law Insights - September 2017

...This issue of SuperVision is dedicated to questions our friends and clients may have regarding insurance and benefit topics. While not a common part of the Labor & Employment field, Spilman prides itself on having...more

Employers Required to Use Revised Form I-9

by Jaburg Wilk on

Effective September 18, 2017, employers must begin using a revised Form I-9, which was released on July 17, 2017. The new form is valid through August 31, 2019. Using an outdated form is a violation of recordkeeping...more

Georgia Adopts New Mortgage Servicing Rules

by Ballard Spahr LLP on

The Georgia Department of Banking and Finance has issued new mortgage servicing rules including, but not limited to, the following provisions: Definitions that generally have the same meaning as in the terms defined in Ga....more

An Overview of the CFTC’s Modernized Recordkeeping Requirements

by Reed Smith on

On May 23, 2017, the U.S. Commodity Futures Trading Commission unanimously approved a revamped CFTC Rule 1.31, which specifies the form and manner that records must be kept by commodities market participants, and a slight...more

Outline for Discussion of New Issue Price Rules

New tax rules relating to establishing the issue price of publicly offered tax-exempt bonds become effective soon. This outline describes the new issue price rules, provides a high-level strategic analysis to help guide a...more

CFTC Revises Record Keeping Requirements

The CFTC has issued final amendments to Regulation 1.31 which sets forth the form and manner in which all regulatory records must be kept by records entities. “Records entities” are persons required to keep records pursuant...more

OSHA “Removes” Late Term Rule Which Allowed OSHA to Cite Injury Recordkeeping Violations Going Back Five-Years

by Seyfarth Shaw LLP on

Seyfarth Synopsis: OSHA has rescinded its midnight rule, adopted by the outgoing Administration in December 2016 which attempted to end run the federal court’s decision in Volks that limits the statute of limitations on...more

CAS Legal Mailbag Question of the Week – April, 2017

by Shipman & Goodwin LLP on

Dear Legal Mailbag: Recently, a parent stopped by my office unannounced to complain that one of my teachers was rude to her darling little son. This is not the first time that she has leveled an accusation against one...more

Are Your Employees Texting? The Risks To Employers In Taking Workplace Communications Offline

by Seyfarth Shaw LLP on

Seyfarth Synopsis: Given the issues workplace texting presents for employers, employers would be wise to make clear in their policies what method of communication employees may use in the workplace for business purposes. If...more

Maryland Court of Appeals Dismisses Former University Employee’s Claims for Access to Research Materials and Wrongful Termination...

by Ropes & Gray LLP on

In a noteworthy case involving an employed scientist’s allegations of wrongful termination for reporting research misconduct, the Maryland Court of Appeals in Yuan v. Johns Hopkins University refused to recognize the federal...more

Better Late Than Never: New Mexico on the Cusp of Enacting Data Breach Notification Statute

We are anxiously waiting to learn the fate of the data breach notification statute recently passed by state lawmakers in New Mexico. The bill remains on the desk of the governor who has until the end of the week to sign the...more

Bridging the Week - March 2017 #4

Clearing Firm’s Failure to File Suspicious Activity Reports in Response to Red Flags Charged as Violation of FINRA Requirements: Electronic Transaction Clearing, Inc., a registered broker-dealer, was charged by the Financial...more

Recordkeeping Compliance Tips

by SmithAmundsen LLC on

Nondiscrimination and privacy laws make recordkeeping a daunting task. Here are some compliance tips for today’s highly legislated and regulated business world: KNOW THE FILE TYPES - Not all files are the same....more

CFTC Proposes Updated Recordkeeping Rules

by Ropes & Gray LLP on

The Commodity Futures Trading Commission (the “CFTC”) recently proposed certain amendments to Regulation 1.31 (“§1.31”), which sets forth requirements for records required to be kept under the Commodity Exchange Act (the...more

UPDATE: Los Angeles Ban the Box - New Individualized Assessment and Reassessment Form

by Seyfarth Shaw LLP on

Seyfarth Synopsis: The City of Los Angeles recently issued its Rules and Regulations Implementing the Fair Chance Initiative For Hiring (Ban the Box) Ordinance, providing critical guidance to employers on compliance with the...more

Hiring and Firing in Los Angeles: Fair Chance Initiative Update

by Lewitt Hackman on

We told you about Los Angeles’ Ban the Box ordinance in early December. Also known as the Fair Chance Initiative for Hiring Ordinance (FCIHO), the new regulation seeks to reduce recidivism by limiting inquiries regarding...more

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