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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
Regulators make funding pitch for FY 2019 budget
Joe Mont | February 14, 2018
This week, President Trump sent Congress a $4.4 trillion budget proposal for fiscal year 2019. While Congress pores over the document, regulatory agencies are making their pitch for more resources.
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The Filing Cabinet Blog
SEC, CFTC make their pitch for boosting budgets
Joe Mont | July 5, 2017
As new and emerging technology alters the risk landscape, increased budgets for the SEC and CFTC will help them fight fire with fire, agency heads said at a recent budget hearing.
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The Filing Cabinet Blog
Frustrated CFTC Commissioner steps down, other agencies staff up
Joe Mont | June 21, 2017
The CFTC is losing a long-time member after Sharon Bowen publicly aired her frustrations. Meanwhile, a familiar face is fueling rumors about President Trump’s next SEC nomination.
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The Filing Cabinet Blog
SEC Sets Swap Dealer Registrations, 'Bad Actor' Waiver Battle Looms
Joe Mont | August 5, 2015
The easy part: adopting new rules and a process for the registration of security-based swap dealers and major security-based swap participants. More controversial, is a new proposal, announced by the Securities and Exchange Commission on Wednesday, to give swap dealers the ability to do business with individuals and firms convicted of past fraud by seeking a Commission-granted "bad actor" waiver.
Displaying 4 results