All Rules & Proposals articles – Page 34
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Article
SEC gets serious about investor-friendly disclosures
Investors, especially those lacking financial literacy skills, may soon benefit from the SEC’s efforts to modernize its disclosure regime and filing requirements.
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Blog
Glass-Steagall talk persists as Trump meets with community banks
Even as President Trump was promising community bank executives regulatory relief, talk of a new Glass-Steagall Act sent bank stocks tumbling on Thursday.
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Blog
Bill seeks to enhance public participation in rulemaking
The House of Representatives has passed a bill that seeks greater transparency and objectivity to the process of regulatory rulemaking.
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Blog
Democrats seek arbitration release for Wells Fargo customers
Congressional Democrats are supporting legislation that would give victims of fraud by Wells Fargo release from forced arbitration clauses that otherwise prevent them from suing the bank.
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Blog
Sen. Brown asks Treasury to probe President’s business ties
U.S. Sen. Sherrod Brown (D-Ohio) has asked the Treasury Department to review President Trump’s investment partners and business associates to assess whether there are violations of anti-terrorist financing, sanctions, or money laundering laws.
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Blog
Senate Banking Committee schedules Clayton hearing
President Donald J. Trump’s pick to serve as SEC chairman, Jay Clayton, will testify before the Senate Banking Committee on March 23, a prelude to confirmation by the full Senate.
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Blog
President Trump poised to kill 'blacklisting rule'
President Trump is expected to finalize Congressional action that kills the Obama Administration’s so-called “blacklisting rule” for federal contractors, a requirement that they disclose labor law, civil rights, and wage violations.
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Article
Crowdfunding risks put spotlight on investor protection
Crowdfunding is a revolutionary tool for capital formation. Dealing with its risks may provide a catalyst for fresh thinking about investor protections.
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Article
Risk management, best practices are even more crucial in an era of deregulation
A company’s biggest asset is its reputation, and scaling back regulations themselves will do little to protect against the outrage of the public, the media, and marketplace rivals.
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Blog
SEC revisits decades-old bank disclosure guide
The SEC has launched a review of "Industry Guide 3 - Statistical Disclosure by Bank Holding Companies," and will look to update disclosure requirements last itemized in 1976.
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Blog
SEC seeks to expand municipal securities disclosures
The SEC is looking to better protect investors and enhance transparency in the municipal securities market with two proposed rule amendments.
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Blog
A plea to G20 leaders about systemic risk
In a new letter to world leaders, the Systemic Risk Council is urging G20 countries to resist any pressure to weaken global financial reform measures.
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Blog
Labor Dept. seeks to delay fiduciary rule applicability
Following a presidential order to further review its controversial fiduciary duty rule, the Department of Labor is seeking to delay its effective date, allowing the time needed for additional analysis.
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Blog
Trump targets controversial 'waters of the U.S. rule'
President Donald J. Trump has issued an Executive Order demanding that the EPA and the Army Corps of Engineers publish for notice and comment a proposal that rescinds or revises the controversial "Waters of the United States" rule.
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Blog
President orders agencies to create regulatory task forces
President Trump has signed an Executive Order requiring that government agencies establish a Regulatory Reform Task Force to evaluate existing regulations and identify those that should be repealed or modified.
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Blog
Trump signs bill repealing extractive payments rule
President Donald Trump has signed legislation repealing controversial rules designed to heighten transparency in the oil and natural gas industry. Jaclyn Jaeger has more on reaction from the oil and gas industry.
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ArticleFiduciary rule follies: court ruling creates presidential dilemmas
The Department of Labor’s fiduciary rule passed its latest legal challenge, with a dressing down of plaintiff’s concerns by a federal judge in Texas. The ball is now in the Trump Administration’s court. Joe Mont reports.
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Blog
Lawsuit challenges President’s ‘one-in, two-out’ Executive Order
Consumer, environmental and worker advocacy groups joined forces to sue the Trump Administration over an Executive Order that directs federal agencies to repeal two federal regulations for every new rule they issue.
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Blog
Risk alert spotlights exam pitfalls for investment advisers
The SEC’s Office of Compliance Inspections and Examinations has issued a risk alert that details the most prevalent compliance miscues identified in its examinations of investment advisers
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Blog
SEC seeks compliance horror stories about pay ratio rule
Acting SEC Chairman Michael Piwowar has announced that the pay ratio rule, described as triggering “unanticipated compliance difficulties,” is under formal reconsideration.