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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
Waters: Shutdown is jeopardizing financial markets
Joe Mont | January 10, 2019
As she assumes leadership of the House Financial Services Committee, Rep. Maxine Waters (D-Calif.) is arguing that the ongoing government shutdown is harming the SEC and the integrity of U.S. financial markets.
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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
Senate committee schedules hearing for SEC nominees
Joe Mont | October 18, 2017
On Oct. 24, the Senate Banking Committee will hold a hearing on President Trump’s nominations of Hester Peirce, a Republican, and Robert Jackson, a Democrat, to be SEC Commissioners.
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