Legal Regulatory Filing

Type: Information Object

Status: Planned
Industry Sector: Legal Services
Sensitivity Level: Confidential
Personal Information: No PII

Description:
Document submitted to a regulatory authority as part of a compliance, licensing or reporting obligation.

Accessed by Application(s):

• Legal Knowledge Management Application
• Legal Practice Management System

 Yes

Attributes

Order	Name	Description	Type	Cardinality	Example value
1	Legal Regulatory Filing ID	Unique identifier for the regulatory filing	GUID	Mandatory
2	Reference Number	Reference number assigned by the regulatory authority	String	Optional
3	Filing Name	Name or title of the regulatory filing	String	Mandatory
4	Filing Type	Type or category of regulatory filing	String	Mandatory	Notification
5	Filing Status	Current status of the filing	Enumeration	Mandatory	Submitted
6	Submitted Date	Date when the filing was submitted	Date	Optional
7	Legal Matter	Legal matter associated with the filing	Reference	Optional
8	Regulatory Authority	Authority or agency receiving the filing	String	Mandatory	SEC
9	Submission Deadline	Deadline by which the filing must be submitted	Date	Optional

 Yes
 
 Planned
 No PII
 Confidential
 Legal Services
 Document submitted to a regulatory authority as part of a compliance, licensing or reporting obligation.

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