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The Filing Cabinet
"The Filing Cabinet," which covers compliance with the Dodd-Frank Act and the Sarbanes-Oxley Act, as well as other regulatory action from the Securities and Exchange Commission, executive compensation, and shareholder activism, is written by CW staff writer Joe Mont. Mont welcomes questions, comments, and statements from readers on SEC filing matters and will address them here when appropriate. Readers can contact him at joe.mont@complianceweek.com.
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The Filing Cabinet Blog
Senators demand investigation into SEC rule reconsiderations
Joe Mont | March 31, 2017
A quartet of Senate Democrats are demanding that the SEC’s inspector general conduct an investigation into Acting Chairman Michal Piwowar’s “reconsideration” of the agency’s pay ratio and conflict minerals rules.
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The Filing Cabinet Blog
Court Gives SEC Another Chance to Defend Conflict Minerals Rule
Joe Mont | November 18, 2014
The court that struck down parts of the SEC’s conflict minerals disclosure rule has agreed to give the agency another chance to make its case. The U.S. Court of Appeals for the District of Columbia said it will permit the SEC to file a supplemental brief, setting the stage for a rehearing of an April 2014 decision that scaled back conflict minerals disclosure demands amid First Amendment concerns. The Commission has 20 days to submit a new brief.
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The Filing Cabinet Blog
New Version of Conflict Minerals Reporting Template Released
Joe Mont | November 12, 2014
RohwerThe latest version of the Conflict Free Sourcing Initiative’s Conflict Minerals Reporting Template is now available. The report provides information on which countries smelters and refiners get their minerals from. The latest version of the report provides improved translations and a more accurate approach to smelter identification. “By gathering the same types of information from many levels of the supply chain in a standardized form, companies can make informed choices about conflict minerals in their supply chains,” Michael Rohwer, CFSI’s program director, said. More inside.
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The Filing Cabinet Blog
Commerce Dept. Can’t Tell Which Smelters Are Conflict-Free
Joe Mont | September 8, 2014
Is your company having a hard time determining whether you use conflict minerals mined in the war-torn Congo? Well, the government can’t tell which smelters and refiners are conflict-free either. The U.S. Department of Commerce has released a long-delayed list of “all known conflict mineral processing facilities worldwide,” but cautions that it has no way of knowing which ones are conflict-free. More inside.
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The Filing Cabinet Blog
Meat Label Decision Could Help Conflict Minerals Rule
Joe Mont | July 31, 2014
A court decision in a legal battle over meat labeling requirements could solidify the status of the Securities and Exchange Commission’s conflict minerals disclosure requirements. This week, the U.S. Court of Appeals for the District of Columbia Circuit ruled against food producers who argued that a U.S. Department of Agriculture requirement to label meat produces with their country of origin was compelled speech and a violation of First Amendment protections. The Securities and Exchange Commission is hoping the ruling influences a lower court review of the constitutionality of its conflict minerals rule.
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