All Rules & Proposals articles – Page 23
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Article
LexisNexis Risk Solutions’ Chrisol Correia on AML, the convergence of risk intelligence
The leader of LexisNexis Risk Solutions' global anti-money laundering solutions strategy discusses trends in AML, risk management technology, and the evolution of FinTech compliance.
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Article
The future of FinTech may involve unified regulation
Many FinTech firms concede that regulation may provide a needed imprint of safety and security. A new plan calls for a singular regulatory point of contact.
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Podcast
Podcast: The regulatory challenges of self-driving trucks
In our latest podcast, we listen in on a recent Senate Committee on Commerce, Science, and Transportation hearing where regulatory approaches to self-driving trucks were discussed.
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Blog
Podcast: The regulatory challenges of self-driving trucks
In our latest podcast, we listen in on a recent Senate Committee on Commerce, Science, and Transportation hearing where regulatory approaches to self-driving trucks were discussed.
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Blog
Legislation seeks to extend applicability of SEC's Reg A+
Keeping with efforts to improve capital formation, the House of Representatives has approved legislation that would extend applicability of the SEC's Regulation A+.
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Blog
CFTC fills long-vacant seats with new commissioners
The Commodity Futures Trading Commission is bringing two, much-needed commissioners to the table with the swearing-in of Brian Quintenz and Rostin Behnam.
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Blog
Credit unions, Small Business Association forge renewed partnership
The National Association of Federally-Insured Credit Unions and the government's Small Business Association have signed a new Memorandum of Understanding and extended their partnership.
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Blog
Democrats leverage Equifax breach to defend CFPB's arbitration rule
A massive data breach at the credit rating service Equifax has gifted Democrats and other supporters of the CFPB's arbitration rule with fresh ammo.
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Article
SEC’s controversial pay ratio rule still alive and problematic
The SEC’s rule requiring companies to disclose the ratio between CEO and average worker pay persists despite much pushback from business and government alike.
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Article
‘Lone wolf’ terror attacks pose a challenge for financial detectives
Following 9/11, laws and compliance rules were leveraged to “follow the money” and disrupt terror plots. But can those efforts intercept “lone wolf” attacks?
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Blog
Cyber-attack exposes consumer data at Equifax
The consumer credit reporting agency Equifax has announced a cyber-security incident that may have exposed the data of 143 million U.S. consumers. Credit card numbers for approximately 209,000 U.S. consumers were accessed.
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Blog
SEC’s Piwowar cleared of overstepping bounds with rule re-proposals
SEC Commissioner Michael Piwowar, while serving as acting chairman, acted appropriately when moving forward with rule re-proposals, says Inspector General Carl Hoecker in a response to complaints by Senate Democrats.
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Blog
Business leaders fight to preserve DACA, protect ‘Dreamers’
Business leaders, including prominent CEOs, are demanding fast action by Congress to protect immigrant employees covered by an Obama era executive order that was rescinded by the Trump Administration this week.
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Blog
Department of Education, CFPB in turf war over student loans
The Department of Education has killed an information-sharing agreement with the CFPB that was intended to protect student loan borrowers. It called the Bureau “an overreaching and unaccountable agency.”
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Blog
IAA: Preserve advisers’ fiduciary standard, impose same on broker-dealers
Bucking the trend established by vocal critics of the rule, the Investment Adviser Association wants the SEC to preserve the fiduciary duty for investment advisers and adopt an equally stringent standard for broker-dealers.
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ArticleMiFID II is on the way and U.S. firms should pay close attention
As the slate of EU financial regulations known as MiFID II goes into effect in January, U.S. firms may be rudely awakened by new transparency demands, real-time reporting requirements, and “research unbundling” rules.
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Article
Federal Reserve rethinks oversight by bank boards
A Federal Reserve proposal seeks to streamline the expectations placed upon bank directors. Will it help ease their burden, or create a confusing new regime?
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Article
FRC consults on strategic report
The FRC has proposed amendments to strategic reporting guidance in the hopes that companies will expand their range of non-financial reporting to give stakeholders a better understand of companies’ decision making and corporate strategies.
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Blog
Robert Jackson, architect of political spending petition, nominated to SEC
President Trump has nominated Robert Jackson, a professor at Columbia University and proponent of a controversial political spending disclosure rule proposal, to be a member of the SEC.
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Blog
SEC’s requirement for hyperlinks in filings now in effect
As of Sept. 1, rule and form amendments requiring hyperlinks are in effect. The changes were put in place by the SEC to make it easier for investors and other market participants to find and access exhibits in registration statements and periodic reports.