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Regulatory Reporting Requirements Flashcards

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  1. Under DOL regulations, a pension plan with 100 or more participants must file Form 5500 with a certified audit. When is this annual filing due?

    Answer: July 31 (7 months after plan year end)

    Form 5500 is due by the last day of the 7th month after the plan year ends (July 31 for calendar-year plans), with an automatic 2.5-month extension available.

  2. A company exports controlled goods under an Export Control Classification Number (ECCN). Which agency requires the Automated Export System (AES) filing?

    Answer: U.S. Census Bureau via CBP

    AES filings (Electronic Export Information) are filed through the Census Bureau's AES system administered via U.S. Customs and Border Protection.

  3. Under Dodd-Frank, which entities must report OTC derivative swap transactions to a registered Swap Data Repository (SDR)?

    Answer: Both swap dealers and major swap participants

    Both swap dealers and major swap participants are required to report swap transaction data to a registered SDR under CFTC rules implementing Dodd-Frank.

  4. The Equal Employment Opportunity Commission (EEOC) requires companies with 100+ employees to file which annual workforce demographic report?

    Answer: EEO-1 Component 1 Report

    The EEO-1 Component 1 Report requires companies with 100+ employees (and federal contractors with 50+ employees) to report workforce demographic data by race, sex, and job category annually.

  5. When a company files for a material contract exhibit under SEC Regulation S-K Item 601(b)(10), what confidential treatment rule allows redacting sensitive terms?

    Answer: Rule 406

    SEC Rule 406 allows registrants to request confidential treatment for competitively sensitive portions of material contracts filed as exhibits.

  6. NERC (North American Electric Reliability Corporation) requires electric utilities to report cybersecurity incidents affecting bulk electric systems under which reliability standard?

    Answer: CIP-008

    NERC CIP-008 (Incident Reporting and Response Planning) requires responsible entities to report Cyber Security Incidents that compromise or attempt to compromise the Electronic Security Perimeter.

  7. A foreign private issuer listed on a U.S. exchange typically files its annual report on which SEC form instead of Form 10-K?

    Answer: Form 20-F

    Foreign private issuers file their annual reports on Form 20-F, which is the foreign equivalent of the domestic Form 10-K.