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Rules & Proposals

Rules & Proposals

The Filing Cabinet Blog

CFPB resurrects consumer advisory boards

Joe Mont | March 22, 2019

CFPB Director Kathleen Kraninger has reinstated the agency’s consumer advisory boards. It is currently accepting applications for members to serve on those boards, which were disbanded last year by her predecessor.

The Filing Cabinet Blog

SEC considers reporting changes for BDCs, closed-end funds

Joe Mont | March 21, 2019

The SEC is pitching rule amendments to improve access to capital and investor communications by business development companies that typically invest in small and developing companies and registered closed-end funds.

The Filing Cabinet Blog

SEC adopts amendments, MD&A changes to simplify disclosures

Joe Mont | March 21, 2019

The SEC has adopted amendments to Regulation S-K disclosure requirements and MD&A filings that are intended to improve the readability of company disclosures and to discourage repetition and immaterial information.

The Filing Cabinet Blog

FTC clarifies expectations for post-settlement compliance reports

Joe Mont | March 21, 2019

The Federal Trade Commission, increasingly faced with incomplete information and blown deadlines, is laying down the law when it comes to post-settlement compliance reports.

The Filing Cabinet Blog

Survey: Companies lag behind with CCPA compliance

Joe Mont | March 20, 2019

With a January 2020 deadline just 10 months away, only 14 percent of companies report they are compliant with the California Consumer Privacy Act. Nearly half have not yet started implementation, says a new survey from TrustArc.

The Filing Cabinet Blog

Facebook settles housing discrimination suit, ends ad ‘exclusions’

Joe Mont | March 20, 2019

Facebook will pay $5 million and implement a series of anti-discrimination policies to settle a lawsuit brought against it by national fair housing advocates.

Podcast: the compliance challenges of M&A deals

March 18, 2019

In the latest edition of the Compliance Week podcast, Kelvin Dickenson, managing director of compliance and data solutions at Opus, a global risk and compliance SaaS provider, discusses the compliance complexities of M&A deals.

The Filing Cabinet Blog

Podcast: the compliance challenges of M&A deals

Joe Mont | March 18, 2019

In the latest edition of the Compliance Week podcast, Kelvin Dickenson, managing director of compliance and data solutions at Opus, a global risk and compliance SaaS provider, discusses the compliance complexities of M&A deals.

The Filing Cabinet Blog

Critics scrutinize plans for revised Volcker Rule

Joe Mont | March 12, 2019

Proposed rulemaking to ease the compliance burden of the Dodd-Frank Act’s controversial Volcker Rule might not be enough to appease everyone.

The Filing Cabinet Blog

FSOC seeks changes to nonbank designation guidance

Joe Mont | March 7, 2019

The FSOC has released proposed interpretive guidance regarding nonbank financial firm SIFI designations. It would implement an “activities-based approach" to identifying potential risks to financial stability and provide an "off-ramp" to designated firms.