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Regulatory Reform › Reporting Requirements › Recordkeeping Requirements

Katten Muchin Rosenman LLP

CFTC Acting Chairman Pham Announces Effort to Quickly Resolve Recordkeeping and Reporting Investigations and Pledges Additional...

Katten Muchin Rosenman LLP on

During her keynote address at the Futures Industry Association’s International Futures Industry Conference, BOCA50, CFTC Acting Chairman Caroline D. Pham announced a new effort to encourage market participants to resolve open...more

Moore & Van Allen PLLC

The Desk - February Edition

Moore & Van Allen PLLC on

January is at least eight weeks – I’m certain of it. Now that it’s February we know who’s running the CFTC and its different Divisions, for the time being. Acting Chair Pham comes to her position with a long history of...more

Sullivan & Worcester

SEC Adopts Amendments to the Investment Company Names Rule (Rule 35d-1)

Sullivan & Worcester on

On September 20, 2023, the Securities and Exchange Commission (“SEC”) adopted amendments to Rule 35d-1[1] (the “Names Rule”) under the Investment Company Act of 1940, as amended (“1940 Act”), as well as amendments to certain...more

Groom Law Group, Chartered

Church Plans Under the SECURE Act

Groom Law Group, Chartered on

Many of the provisions of the Setting Every Community Up for Retirement Enhancement Act of 2019 (the “SECURE Act”) do not apply to non-electing church plans, but some do, notably those dealing with certain 403(b)(9) plans and...more

Polsinelli

OSHA announces changes to Electronic Recordkeeping Rule

Polsinelli on

In the waning days of President Obama’s Administration, the Occupational Safety and Health Administration (“OSHA”) announced sweeping changes to its recordkeeping rule, originally to be effective January 1, 2017, which...more

Littler

OSHA Proposes to Rescind Major Portions of its Electronic Reporting Rule

Littler on

On Monday, July 30, 2018, the Occupational Safety and Health Administration (OSHA) issued a proposed rule to abolish much of the existing electronic reporting obligations for establishments with 250 or more employees....more

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