All Rules & Proposals articles – Page 5
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Blog
Brokers, banks launch new equities exchange
A group of nine leading retail broker-dealers, banks, and financial services firms have agreed to launch a new equities exchange, MEMX, or Members Exchange.
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Blog
As government shutdown drags on, SEC offers guidance
Concerned about how the government shutdown will affect the SEC and filing obligations? The agency is offering several resources to provide some much-needed guidance.
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ArticleDisclosure reform an idea worth pursuing
The SEC is once again digging into disclosure reforms, and the debate has shifted from what to file to how frequently companies need to file.
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ArticleUnfinished business, lingering questions guide regulators into New Year
In 2019, regulators look to build on initiatives that began last year while tackling increased political tensions.
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Blog
SEC expands use of Regulation A exemption
The SEC has enacted new rules that allow Exchange Act reporting companies to use the Regulation A exemption from registration for their securities offerings. Regulation A provides an exemption from registration for offerings of securities up to $50 million in a 12-month period.
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Blog
CFPB’s name game reaches its endgame
In one of her first moves since taking charge of the CFPB, Director Kathy Kraninger has spiked a controversial initiative to rename and rebrand the agency.
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Blog
SEC rule targets hedging of equity compensation
New SEC rules will require companies to file an annual meeting proxy statement that discloses whether employees and directors are allowed to hedge any decrease in the market value of equity securities granted as compensation.
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Blog
May survives ‘no confidence’ vote over Brexit handling
British Prime Minister Theresa May withstood a parliamentary “no confidence” vote, keeping her efforts for a U.K. exit from the European Union on track, if not any less contentious and fragile.
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Blog
Amid likely defeat, May delays Brexit vote by MPs
Amid faltering odds that became apparent during three days of debate, British Prime Minister Theresa May has, at least temporarily, withdrawn her much-maligned Brexit plan from Parliamentary voting consideration.
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ArticleWill Kraninger bring change to the CFPB?
With the Senate confirmation of new director Kathy Kraninger on Dec. 6, critics and supporters alike are pondering the future of the Consumer Financial Protection Bureau.
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Blog
Report assesses key risks, compliance challenges for banks
The OCC has released its “Semiannual Risk Perspective,” a look at the operational, compliance, and interest rate risks likely to present themselves as top banking concerns. The report also offers risk mitigation strategies.
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Blog
OCC discounts fees it charges banks for supervision
The OCC will reduce assessments on the banks it oversees for 2019. The change—which takes effect with the March 31, 2019, assessment—will reduce its General Assessment Fee Schedule by 10 percent.
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Blog
Marriott breach could affect 500,000 customers
A breach of the Marriott hotel chain’s guest reservation database may have compromised the personal information of upwards of 500,000 customers. The reveal follows an unrelated breach that affected members of Dunkin’ Donuts loyalty card program.
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Blog
Bitcoin ‘addresses’ added to sanctions screening
For the first time, the Treasury Department has added digital currency identifiers on its sanctions blacklist. It has also drafted new guidance on how those transactions should be identified and reported.
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Blog
Senate Dems serve up scathing rebuke of Mulvaney-led CFPB
A new report, released by Democrats on the Senate Banking Committee, details how they think Acting Director Mick Mulvaney “has undermined the Consumer Financial Protection Bureau’s mission to enforce consumer protections.”
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Blog
Survey: CCO liability fears persist
Although corporate compliance officers are receiving greater support for their programs, concerns about personal liability increased over the past year, according to a new survey conducted by DLA Piper.
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Blog
U.S. considers export controls for AI, other emerging tech
The Commerce Department is proposing what may end up being the government’s first regulatory regime for the use of artificial intelligence technology. Other cutting-edge technologies are also under consideration for enhanced export controls.
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Article
A view from beyond the tech giants
Organizations in sectors outside of technology are voicing their opinions on what a data privacy regulation should entail.
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ArticleFAQ: Understanding U.S. privacy protections in place and under consideration
The following is a look at some of the many questions companies may have as debates continue over national and state laws and regulations pertaining to data privacy protections.
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Blog
Quarles to head Financial Stability Board
Randal Quarles, a Federal Reserve governor and its vice chairman for supervision, has been appointed as the new chairman of the international Financial Stability Board.