News & Analysis as of

Proposed Regulation Reporting Requirements Recordkeeping Requirements

Seyfarth Shaw LLP

Cal/Osha’s Proposed Revisions to Its Draft Workplace Violence Prevention Regulation

Seyfarth Shaw LLP on

On May 13, 2025, Cal/OSHA released a new discussion draft of its proposed regulation on Workplace Violence Prevention in General Industry. This latest version updates the July 15, 2024 draft we previously blogged about, and...more

Sheppard Mullin Richter & Hampton LLP

Treasury Announces Renewed Push for Investment Adviser AML Rules in Q1 2024

The United States Department of the Treasury has announced that it is working to address what it perceives as money laundering risks associated with investment advisers. Specifically, the agency asserts that absent consistent...more

K2 Integrity

FinCEN Proposes New Regulation To Enhance Transparency In Convertible Virtual Currency Mixing And Combat Terrorist Financing

K2 Integrity on

Summary of What Has Happened and What Is Yet to Come - On 19 October 2023, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) announced a Notice of Proposed Rule Making (NPRM), pursuant to...more

Willcox & Savage

EPA’s Proposed Requirements for “Non-Intentional” Impurities in Vermiculite and Talc

Willcox & Savage on

Companies manufacturing, importing, or processing vermiculite or talc should take note of the Environmental Protection Agency’s (EPA) recently proposed reporting and recordkeeping requirements for asbestos under the Toxic...more

Proskauer - The Capital Commitment

Application of the Joint Proposed Incentive Compensation Rule to Investment Advisers

On May 16, 2016, six federal agencies issued a joint release inviting public comment on a proposed rule to prohibit or condition certain incentive-based compensation arrangements. This proposed rule was mandated by section...more

Bergeson & Campbell, P.C.

EPA Intends to Promulgate Final Nanoscale Materials Rule in October 2016

According to an item in the Spring 2016 Regulatory Agenda, the U.S. Environmental Protection Agency (EPA) is “developing a final rule related to” its April 6, 2015, proposal to require reporting and recordkeeping requirements...more

Morrison & Foerster LLP

FinCEN Proposes Anti-Money Laundering and Suspicious Reporting Rules for Registered Investment Advisers

On August 25, 2015, the US Treasury Department’s Financial Crimes Enforcement Network (FinCEN) proposed rules that would require registered investment advisers to adopt anti-money laundering (AML) programs and report...more

Goodwin

Financial Services Weekly News - November 2015

Goodwin on

Regulatory Developments - Client Alert: SEC Issues New Guidance on Excluding Shareholder Proposals under Rule 14a-8: Goodwin Procter’s Capital Markets practice has released a client alert on the SEC’s Division of...more

Goodwin

Financial Services Weekly News - October 2015 #3

Goodwin on

Regulatory Developments: FINRA Requests Comment on Rules Relating to Financial Exploitation of Vulnerable Adults - On Oct. 15 FINRA published Regulatory Notice 15-37, requesting comment on proposed amendments to...more

Morgan Lewis

PHMSA Proposes to Expand the Requirements for Pipelines Carrying Hazardous Liquids

Morgan Lewis on

The rules would add gathering lines and pipelines in non-HCA areas. On October 13, the US Department of Transportation’s Pipeline and Hazardous Materials Safety Administration (PHMSA) issued a Proposed Rule that would...more

Foley Hoag LLP

FinCEN Proposed AML Rule For Investment Advisers

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The Financial Crimes Enforcement Network (“FinCEN”), a bureau of the Department of Treasury, issued a proposed anti-money laundering rule applicable to investment advisers registered with the U.S. Securities and Exchange...more

Proskauer - Corporate Defense and Disputes

Proposed AML Regulations for Registered Investment Advisers Released by FinCEN

On August 25, 2015, the U.S. Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) released proposed rules that would require investment advisers that are registered or required to be registered (RIAs)...more

Morrison & Foerster LLP

FinCEN Proposes Anti-Money Laundering Rules for Registered Advisers

The Department of the Treasury’s Financial Crimes Enforcement Network (FinCEN) on August 25, 2015 proposed rules to require SEC- registered investment advisers to adopt and maintain anti-money laundering (AML) programs and to...more

Goodwin

FinCEN Proposes AML Program Rule for Investment Advisers

Goodwin on

The Financial Crimes Enforcement Network (FinCEN) has issued a proposed rule that would subject certain investment advisers to AML requirements under the Bank Secrecy Act (the BSA). In proposing the rule, FinCEN cited...more

Parker Poe Adams & Bernstein LLP

OSHA Seeks to Extend Deadline for Citations Against Employers for Recordkeeping Violations

Once the Occupational Safety and Health Administration opens an investigation of an employer, it has six months to complete the investigation and issue citations. In 2012, the D.C. Circuit Court of Appeals determined that...more

Morgan Lewis

SEC Proposes Rules Affecting Funds and Advisers

Morgan Lewis on

Proposals would impose new disclosure requirements designed to enhance the SEC’s ability to monitor the industry. On May 20, the US Securities and Exchange Commission (SEC) unanimously approved proposals intended to...more

Mintz

EPA’s Proposed Nano Rule: What Should You Be Doing Now?

Mintz on

On April 6, 2015, EPA published a long-awaited Proposed Rule imposing one-time electronic reporting and recordkeeping requirements on manufacturers and processors of certain nanoscale materials under Section 8(a) of the Toxic...more

Kelley Drye & Warren LLP

EPA Embarks on First Major Rulemaking to Guide Regulation of Nanoscale Materials and Products

After almost a decade of study and input from stakeholders, the U.S. Environmental Protection Agency (“EPA”) has proposed first-time reporting requirements under the Toxic Substances Control Act (“TSCA”) for manufacturers,...more

Bergeson & Campbell, P.C.

Comments Due July 6 on Proposed Reporting and Recordkeeping Requirements for Nanoscale Materials

The U.S. Environmental Protection Agency’s (EPA) Toxic Substances Control Act (TSCA) Section 8(a) proposed rule concerning reporting and recordkeeping requirements for certain chemical substances when manufactured or...more

Bergeson & Campbell, P.C.

TSCA: EPA Proposes Reporting and Recordkeeping Requirements for Nanoscale Materials

On March 25, 2015, the U.S. Environmental Protection Agency (EPA) issued a prepublication version of a Toxic Substances Control Act (TSCA) Section 8(a) proposed rule concerning reporting and recordkeeping requirements for...more

Bergeson & Campbell, P.C.

EPA Submits Proposed Rule on Nanoscale Materials to OMB for Review

On October 6, 2014, the U.S. Environmental Protection Agency (EPA) submitted a proposed rule to the Office of Management and Budget (OMB) entitled “Chemical Substances When Manufactured or Processed as Nanoscale Materials;...more

Skadden, Arps, Slate, Meagher & Flom LLP

SEC Proposes Securities-Based Swap Recordkeeping, Reporting and Notification Requirements

On May 2, 2014, the Securities and Exchange Commission (SEC)published in the Federal Register proposed regulations1 that would implement the recordkeeping, reporting and notification requirements of the Dodd-Frank Wall Street...more

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