All Rule & Proposals articles
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ArticleFinCEN delays AML rules for realtors and investment advisors until 2028
The Treasury Department’s Financial Crimes Enforcement Network is delaying an upcoming requirement that investment advisors and realtors begin screening clients for money laundering and other illegal activity.
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Blog
SEC proposes amending auditor independence rules
The SEC is proposing changes to its auditor independence rules to relax limitations that made compliance with loan provisions virtually impossible.
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Blog
New CD&Is Address Expansion of Regulation A
The Securities and Exchange Commission’s Division of Corporation Finance has issued 11 new Compliance and Disclosure Interpretations to offer guidance on Regulation A changes that went into effect on June 19. They address such matters as the use of social media for “testing the waters” communications, what a “principal place ...
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Blog
House Committee Digs Into New Dodd-Frank, CFPB Legislation
The House of Representative’s Committee on Financial Services is moving forward with the latest round of legislative efforts to amend the Dodd-Frank Act, impose new requirements on the Consumer Financial Protection Bureau, and offer regulatory relief to smaller banks and lenders. The first step was a day-long markup of newly ...