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Form Lm-1 Labor Organization Information - Reginfogov: What You Should Know
Firm Information Report to the Secretary of Labor — New York State Bar Sep 19, 2023 — The Department of Labor will report annually on its efforts to strengthen the financial condition of New York firms and the ability of those firms at the state and local level to meet financial obligations and meet requirements regarding investment and risk management. U.S. Department Of Labor Forms — Wage and Hour Division Form LM-1, Labor Organization Information Report, Labor Organizations — Form LM-5, Labor Organization Report, and Form LM-9, Financial Records And Reports -- for filing with the Department. Rev. Oct 10, 2014. Acknowledgments to NAC DL, NAC and the National Association of Securities Dealers for their support and guidance in developing the Form LM-1. Acknowledgments to the National Association of State Boards of Equalization, the Council of State Insurance Commissioners and the National Association of Home Builders and the National Association of Realtors for their assistance. (Form LM-2, Unfavorable Actions Report, for filing if your firm has an FRA audit.) II. ADDITIONAL MATERIAL AND PROCEDURES. Form LM-6, FRA Audit Questionnaire — U.S. Department of Labor Form LM-7, Unfavorable Actions Report — U.S. Department of Labor Form LM-8, State Boards of Equalization and State Insurance Commissions, Form LM-8-F, Financial Records and Reports — for filing if your firm is under investigation by a state or local board or any other state agency charged with regulating your firm. An annual Form LM-6, FRA Audit Questionnaire, shall be filed for each firm that has been the subject of an FRA audit if the Department of Labor's investigation is the result of a complaint alleging a violation of the federal securities laws, if the Department of Labor is conducting an investigation of this firm under subsection (a) of Section 11E of the Securities Exchange Act of 1934, as amended, if the firm has been the subject of prior FRA inquiries by the Department, and if the Secretary or State Insurance Department has imposed an administrative fine upon the firm as an administrative sanction.
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