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Disclosure Requirements › Recordkeeping Requirements › Notice Requirements

Fisher Phillips

Colorado Governor Calls Special Session to Revisit Groundbreaking AI Law: 3 Possible Paths We Foresee

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Colorado Governor Jared Polis just called for a special legislative session starting August 21 to revisit the state’s landmark artificial intelligence law, signaling that employers and businesses may gain a reprieve from what...more

Fisher Phillips

Will Trend to Limit Warehouse Production Quotas Go National? 3 Things Employers Should Know

Fisher Phillips on

Congress is currently considering a bill that would restrict production quotas for warehouse workers and mandate certain safety measures, following in the footsteps of several states that have implemented similar...more

Seward & Kissel LLP

SEC Adopts Amendments to the Fund “Names Rule” - November 2023

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The Securities and Exchange Commission (the “SEC”) recently adopted amendments1 to Rule 35d-1 under the Investment Company Act of 1940, the fund “Names Rule” (“Amendments”). In the Release, the SEC noted that the Amendments...more

Goodwin

SEC Adopts Rule Enhancements to Prevent Misleading or Deceptive Investment Fund Names

Goodwin on

On September 20, 2023, the US Securities and Exchange Commission (the “SEC”) voted, by a 4-1 vote, to adopt certain amendments (the “final rule” or the “amendments”) to Rule 35d-1 (the “Names Rule”) under the Investment...more

Proskauer Rose LLP

SEC Adopts Amendments to Fund Names Rule

Proskauer Rose LLP on

On September 20, 2023, the Securities and Exchange Commission (the “SEC”) voted to adopt final amendments to modernize Rule 35d-1 of the Investment Company Act of 1940, as amended (the “1940 Act”). This rule, commonly...more

Lowenstein Sandler LLP

The SEC’s Private Fund Adviser Rules Explained — Part 1: The Restricted Activities Rule

Lowenstein Sandler LLP on

On August 23, 2023, the U.S. Securities and Exchange Commission (SEC) adopted new and amended rules under the Investment Advisers Act of 1940, as amended (the Advisers Act), to address what it perceives as certain conflicts...more

BakerHostetler

Seattle's New Independent Contractor Ordinance: Immediate Action Required

BakerHostetler on

Companies with independent contractors in Seattle need to take immediate action to comply with a new law passed by the Seattle City Council. The Independent Contractor Protections Ordinance, codified at SMC 14.34, took effect...more

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

Minnesota Wage Theft Statute, Part II: New Notice, Disclosure, and Recordkeeping Requirements

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In our previous article, we summarized the key provisions of Minnesota’s new “wage theft” law. This article focuses specifically on the notices and disclosures employers are required to provide to their employees under the...more

Broker-Dealer Compliance + Regulation

FINRA Proposes Rules to Help Avoid Financial Exploitation of Seniors

Broker-Dealer Compliance + Regulation on

Avoiding financial exploitation of older investors has been on our regulators’ radar screens for several years. With new rules proposed in October 2015, FINRA seeks to make investing safer for seniors and other vulnerable...more

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