All Rules & Proposals articles – Page 9
-
Podcast
Podcast: Challenges and technologies for mortgage lenders
In this edition of the Compliance Week podcast, we chat with Rose Bogan of Digital Risk about the compliance challenges faced by mortgage lenders and how emerging technology may be coming to the rescue.
-
Blog
To ‘protect personal data,’ OSHA is killing an Obama reporting rule
To “better protect personally identifiable information or data that could be re-identified with a particular individual” OSHA has announced plans to rescind provisions of the Obama administration’s “Improve Tracking Workplace Injuries and Illnesses” rule.
-
Blog
Federal Reserve launches new compliance bulletin
The Federal Reserve Board has launched a new publication intended to provide bankers with high-level summaries of pertinent supervisory issues.
-
Blog
SEC proposes rules to simplify disclosures in registered debt offerings
The SEC has proposed rule amendments to simplify and streamline the financial disclosure requirements applicable to registered debt offerings.
-
Blog
Peirce rejects SEC’s rationale for denying bitcoin ETF plan
For the second time, the SEC has rejected a plan to issue and trade shares of a bitcoin ETF. Commissioner Hester Peirce is openly critical of that decision.
-
Blog
Senators fret FINRA interpretation of SEC’s ‘Best Interest’ proposal
Democratic senators want FINRA to detail its interpretation of the SEC's proposed standards of conduct rule. FINRA will play a large role in implementing and enforcing the forthcoming rule package.
-
Article
Senate committee considers Elad Roisman for SEC vacancy
Elad Roisman, a Republican nominated as an SEC commissioner, made his pitch Tuesday for the job during a nomination hearing before the Senate Banking Committee.
-
Article
CFPB nominee stonewalls way through Senate hearing
Kathy Kraninger is likely to prevail as President Trump’s nominee to head the CFPB, despite her evasive performance during a hearing before the Senate Banking Committee.
-
Blog
CFTC proposes rule update for U.S. markets in security futures products
The Commodity Futures Trading Commission unanimously approved a proposal to update a rule impacting exchanges that list security futures products. The proposal has the potential to provide greater liquidity in SFP trading, which would facilitate risk management for companies using SFPs, and is the first update to the CFTC SFP ...
-
Article
SEC modernizes rules on employee stock compensation
The SEC on Wednesday issued final rules that would raise the threshold for the enhanced disclosure requirement under Securities Act Rule 701, which allows companies to more easily pay their employees in stock.
-
Blog
SEC adopts rules to enhance oversight of Alternative Trading Systems
With the intent of significantly enhancing operational transparency and regulatory oversight, the Securities and Exchange Commission on July 18 voted to adopt amendments to the regulatory requirements governing alternative trading systems, commonly known as “dark pools.”
-
Blog
Former Tesla employee files whistleblower tip to SEC
A former Tesla employee, currently being sued by the company for allegedly hacking into proprietary systems, has made a formal whistleblower report to the SEC. Among the issues that may arise in the Commission’s consideration of the case are matters related to potential retaliation and pretaliation.
-
BlogSenate Democrats demand that CFPB reinstate advisory board
A coalition of Senate Democrats is demanding that Office of Management and Budget Director Mick Mulvaney, who also heads the CFPB, detail how the latter agency will reassemble its recently disbanded Consumer Advisory Board.
-
Blog
OFAC eases sanctions on Sudan; terrorism concerns persist
The Trump administration has dropped most of the U.S. sanctions targeting Sudan, also removing it from the list of nations targeted by a controversial travel ban. The White House stopped short, however, of removing the war-torn country from its terrorism watch list.
-
Blog
FINRA wants firms to detail dabbling in virtual currencies
FINRA wants the brokerage firms and exchanges it oversees to alert it if they engage in activities related to digital assets and cryptocurrencies.
-
Blog
SEC expands application of scaled disclosures
The SEC has extended its “smaller reporting company” definition to expand the number of companies that qualify for scaled disclosure accommodations.
-
Blog
SEC adopts changes to liquidity risk management disclosures
The SEC has finalized amendments to liquidity-related disclosure requirements for certain open-end funds. Under the amendments, funds would discuss in their annual or semi-annual shareholder report the operation and effectiveness of their liquidity risk management programs.
-
Article
SEC unveils ideas for updating whistleblower program
In an effort to improve its whistleblower program and adapt it to recent Supreme Court demands, the SEC has proposed a slate of amendments to the rules that govern the initiative.
-
Article
As immigration issues grow in intensity, companies are swept into the fray
Companies that might otherwise avoid politics and controversy are finding it hard to stay clear of the immigration debate.
-
Blog
Wells Fargo settles with SEC over improper sales advice, strategy
An SEC announcement says Wells Fargo Advisors will settle charges that its sales team pushed retail investors to cash out non-liquid investments before their maturity, unnecessarily costing them money but improving the firm’s profits.