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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
As government shutdown drags on, SEC offers guidance
Joe Mont | January 3, 2019
Concerned about how the government shutdown will affect the SEC and filing obligations? The agency is offering several resources to provide some much-needed guidance.
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The Filing Cabinet Blog
SEC rule adds new customer disclosures for brokers
Joe Mont | November 5, 2018
The SEC has advanced new rules and amendments that that will require broker-dealers to disclose to investors “new and enhanced information about the way they handle investors’ orders.”
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The Filing Cabinet Blog
SEC releases new, four-year strategic plan
Joe Mont | October 12, 2018
The SEC has released a new strategic plan that is intended to guide the agency’s work over the next four years “with a primary focus on investors, innovation, and performance.”
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The Filing Cabinet Blog
SEC’s Jackson criticizes stock exchanges, promises reforms
Joe Mont | September 21, 2018
The time has come to reform America’s stock markets. That was the message from SEC Commissioner Robert Jackson during a speech this week at George Mason University, where he laid out potential changes.
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The Filing Cabinet Blog
SEC monitoring Hurricane Florence
Joe Mont | September 14, 2018
The Securities and Exchange Commission, in a statement on Friday, said it is “closely monitoring the effects of Hurricane Florence” on investors and capital markets. It will consider extending deadlines for filings and other regulatory requirements.
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The Filing Cabinet Blog
SEC chairman weighs in on role of guidance
Joe Mont | September 13, 2018
Reacting, in part, to a recent statement by banking regulators regarding the role of guidance in their regulatory regimes, SEC Chairman Jay Clayton has clarified his own views on the topic.
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The Filing Cabinet Blog
SEC expands application of scaled disclosures
Joe Mont | July 9, 2018
The SEC has extended its “smaller reporting company” definition to expand the number of companies that qualify for scaled disclosure accommodations.
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The Filing Cabinet Blog
SEC details strategic initiatives through 2020
Joe Mont | June 20, 2018
The SEC has published a new plan that details its strategic priorities through Fiscal Year 2022.On the list: improved technology and data analysis and a focus on retail investors.
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The Filing Cabinet Blog
It’s hot out there, but the SEC is not on vacation
Jaclyn Jaeger | July 15, 2016
The Securities and Exchange Commission was busy this week: disclosure rules for broker-dealers; simplification of disclosure requirements; changes to administrative proceedings … Jaclyn Jaeger has the Commission rundown.
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The Filing Cabinet Blog
SEC proposes to simplify disclosure requirements
Jaclyn Jaeger | July 15, 2016
The SEC this week voted to propose amendments to eliminate redundant, overlapping, outdated, or superseded provisions, in light of subsequent changes to disclosure rules, accounting principles, and technology. The SEC is also soliciting comment on certain disclosure requirements that overlap with U.S. GAAP to determine whether to retain, modify, eliminate or refer them to the Financial Accounting Standards Board (FASB) for potential incorporation into U.S. GAAP. Jaclyn Jaeger has more.
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The Filing Cabinet Blog
SEC adopts changes to administrative proceedings
Jaclyn Jaeger | July 15, 2016
The SEC this week adopted amendments updating its rules of practice governing its administrative proceedings. After careful consideration of the comments received, the SEC adopted final amendments that, among other things, would adjust the timing of administrative proceedings and give parties additional opportunities to take depositions of witnesses. Jaclyn Jaeger reports.
Displaying 11 results