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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
SEC, Congress seek better diversity disclosures
Joe Mont | February 20, 2019
The SEC has issued new guidance regarding diversity disclosures. Meanwhile, newly proposed legislation would require public companies to annually disclose the gender, race, and veteran status of their board directors, nominees, and senior executive officers.
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The Filing Cabinet Blog
SEC proposes to expand ‘test-the-waters’ perk to all issuers
Joe Mont | February 19, 2019
The SEC has proposed expanding the “test-the-waters” accommodation—currently available to emerging growth companies—to all issuers, including investment company issuers.
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The Filing Cabinet Blog
Senators urge DOJ, FCC to reject T-Mobile & Sprint merger
Joe Mont | February 14, 2019
Expressing their staunch opposition to the proposed merger between T-Mobile and Sprint, a group of Senate Democrats have written to the Department of Justice’s Antitrust Division and the Federal Communications Commission, urging them to reject the plan.
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The Filing Cabinet Blog
Senate Banking Committee seeks feedback on data privacy
Joe Mont | February 14, 2019
Senate Banking Committee Chairman Mike Crapo (R-Idaho) and Ranking Member Sherrod Brown (D-Ohio) are seeking public feedback on the collection, use, and protection of sensitive personal information by financial regulators and private companies.
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The Filing Cabinet Blog
Proposed FCC rules, phone company enforcement target robocallers
Joe Mont | February 14, 2019
The FCC has escalated its war against robocallers by proposing new rules banning illegal spoofed text messages and international calls. There is also a renewed threat of regulation and enforcement against phone companies that fail to deploy effective caller ID authentication plans.
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The Filing Cabinet Blog
Legislation demands SEC disclosures for corporate political spending
Joe Mont | February 13, 2019
The newly reintroduced Corporate Political Disclosure Act seeks to require publicly traded companies to disclose their political expenditures through the SEC.
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The Filing Cabinet Blog
Suit against Trump’s deregulation centerpiece gets mixed results
Joe Mont | February 13, 2019
The U.S. District Court for the District of Columbia has denied the government’s motion to dismiss Public Citizen v. Trump, a case challenging a 2017 executive order directing federal agencies to repeal two federal regulations for every new rule they issue.
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The Filing Cabinet Blog
Report: How to engage with investors on sustainability issues
Jaclyn Jaeger | February 12, 2019
A new report released by sustainability nonprofit organization Ceres provides a deeper look into investors’ evolving expectations on how companies should communicate and tackle the challenges and opportunities presented by global sustainability issues, including climate change, water scarcity, and human rights.
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The Filing Cabinet Blog
Companies push back against proposed deposition rule
Jaclyn Jaeger | February 12, 2019
A proposed new change to the Federal Rules of Civil Procedure governing depositions that would effectively create time-consuming and costly new discovery disputes has companies and their defense counsel up in arms.
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The Filing Cabinet Blog
Legislators question bank merger, Fed’s approval process
Joe Mont | February 12, 2019
SunTrust Banks and BB&T Corp. recently announced merger plans. The deal is drawing the scrutiny of Congressional Democrats, less for the details of the merger than the regulatory atmosphere that encouraged it and the forthcoming approval process.
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The Filing Cabinet Blog
White House jumps on AI bandwagon
Joe Mont | February 12, 2019
Jumping into an arena the private sector has trailblazed, the federal government is redoubling its efforts regarding the development of artificial intelligence. On Feb. 11, President Trump announced a new initiative intended to help the U.S. gain dominance in deployments of the emerging technology.
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The Filing Cabinet Blog
Critics blast CFPB’s plan to weaken payday lender rules
Joe Mont | February 8, 2019
Critics are taking their shots against the CFPB for attempting to scale back its rules covering payday lenders. Lawmakers are also questioning the Bureau’s retreat from negotiating enforcement settlements that fail to include monetary restitution for customers.
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The Filing Cabinet Blog
NYDFS: Implementation deadline for cyber-security regulation approaching
Jaclyn Jaeger | February 7, 2019
The final implementation period for the New York Department of Financial Services’ landmark cyber-security regulation ends March 1, meaning that DFS-regulated entities and licensed persons covered by the regulation must be in full compliance by that time.
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The Filing Cabinet Blog
Fed moves to make stress tests less stressful
Joe Mont | February 7, 2019
The Federal Reserve Board on Tuesday finalized changes to its stress testing program for the nation’s largest and most complex banks. The intent is to make the resiliency assessments “more open, transparent, and effective.”
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The Filing Cabinet Blog
Rubio introduces new, FTC-focused data privacy legislation
Joe Mont | January 31, 2019
Sen. Marco Rubio (R-Fla.) is the latest legislator to move forward with a bill to establish a national consumer data privacy law. His proposed American Data Dissemination (ADD) Act, uses the Privacy Act of 1974 as its framework.
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The Filing Cabinet Blog
Warren wants worker protections amid Sears bankruptcy
Joe Mont | January 31, 2019
Sen. Elizabeth Warren (D-Mass.) has sent a letter to Eddie Lampert, chairman of Sears Holdings, asking him for “a long-term plan to protect workers” as the legendary retailer faces bankruptcy proceedings.
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The Filing Cabinet Blog
House passes bills targeting insider trading, human trafficking
Joe Mont | January 30, 2019
The House of Representatives has passed three bipartisan bills, previously advanced by the House Financial Services Committee, that aim to curb insider trading and human trafficking.
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The Filing Cabinet Blog
Podcast: Compliance with new Opportunity Tax Zones rules
Joe Mont | January 30, 2019
Qualified Opportunity Zones were created by tax reform legislation to incentivize investments in economically distressed communities. In this podcast, we discuss their complexities with Mayer Greenberg and Kevin Matz, tax experts and partners at Stroock & Stroock & Lavan.
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The Filing Cabinet Blog
CFPB wants ‘clear authority’ to oversee Military Lending Act
Joe Mont | January 28, 2019
The Consumer Financial Protection Bureau is seeking to legislatively expand its purview to police financial products targeted to military personnel.
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The Filing Cabinet Blog
Deloitte: financial institutions reengineer risk management
Joe Mont | January 28, 2019
Financial institutions are beginning new efforts to reengineer their risk management programs and tap into emerging technologies, according to a survey conducted by Deloitte Global.
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The Filing Cabinet Blog
SEC starts slow post-shutdown process of returning to normalcy
Joe Mont | January 28, 2019
As the government reopens after a month-long shutdown, the SEC is among the agencies returning to normal operations. Companies, however, should expect to vie for assistance on a "first come, first served" basis.
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The Filing Cabinet Blog
McHenry pushes for financial services hearings, Deutsche Bank records
Joe Mont | January 25, 2019
Rep. Patrick McHenry (R-N.C.), the Republican leader of the House Financial Services Committee, has announced a series of hearings he wants before the Committee. He is also escalating document demands from scandal-plagued Deutsche Bank.
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The Filing Cabinet Blog
Apple, CEO Tim Cook double down on privacy demands
Kyle Brasseur | January 22, 2019
In an op-ed for Time Magazine, Apple CEO Tim Cook is once again calling on the U.S. government to address data privacy in 2019.
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The Filing Cabinet Blog
Waters builds new agenda for Financial Services Committee
Joe Mont | January 22, 2019
With new leadership, Rep. Maxine Waters (D-Calif.), the House Financial Services Committee is setting its agenda for the new session of Congress.
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Global Glimpses Blog
May’s Brexit plan suffers historic defeat
Joe Mont | January 15, 2019
With one of the most devastating losses in the history of British politics, Prime Minister Theresa May was handed a rebuke of her proposed Brexit framework for the future relationship between the European Union and the United Kingdom.
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