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                  • October 18, 2019

                    U.S. House of Representatives Passes Bill Concerning Disclosure Testing under Reg BI

                    U.S. House of Representatives passed a bill requiring certain disclosure testing under the SEC's proposed Regulation Best Interest.
                  • August 28, 2019

                    SEC Commissioners Raise Issues with Proposed Amendments to Reporting Regulations

                    SEC Commissioners Robert J. Jackson Jr. and Allison Herren Lee expressed concern over proposed amendments to reporting regulations that (i) shift the agency's approach towards principles-based disclosure and (ii) fail to address climate risk.
                    Steven.Lofchie@cwt.com's picture
                    Commentary by Steven Lofchie
                  • August 23, 2019

                    Federal Register: SEC Proposes Amendments to Public Company Reporting Requirements

                    Proposed SEC amendments to revise the description of business, legal proceedings, and risk factor disclosures that registrants are required to make under the Securities Act, were published in the Federal Register.
                  • August 09, 2019

                    SEC Proposes Amendments to Public Company Reporting Requirements

                    The SEC proposed rule amendments that would revise the description of business, legal proceedings and risk factor disclosures registrants are required to make under Securities Act regulations.
                  • May 07, 2019

                    SEC OCIE Director Highlights Risks to Retail Investors

                    SEC Office of Compliance Inspections and Examinations Director Peter Driscoll highlighted key risks facing retail investors caused by bad actors and poor internal controls.
                  • April 08, 2019

                    Federal Register: SEC Corrects Regulation S-K Rule Documents

                    The SEC corrected a rule document published in the Federal Register, concerning the final amendments to Regulation S-K and related rules and forms.
                  • April 03, 2019

                    Federal Register: SEC Adopts Amendments to Simplify Certain Disclosure Requirements

                    The SEC final amendments to Regulation S-K and related rules and forms were published in the Federal Register.
                  • March 21, 2019

                    SEC Adopts Amendments to Simplify Disclosure Requirements

                    The SEC adopted amendments to Regulation S-K, and associated related rules and forms, to reduce the burden of disclosure requirements on registrants.
                  • February 06, 2019

                    SEC Clarifies Compliance and Disclosure Interpretations on Diversity

                    The SEC updated Compliance and Disclosure Interpretations under Regulation S-K to clarify disclosure of certain "self-identified diversity characteristics."
                  • January 22, 2019

                    FINRA Identifies 2019 Risk Monitoring and Examination Priorities

                    FINRA identified risk monitoring and examination priorities for 2019.
                    mark.highman@cwt.com's picture
                    Commentary by Mark Highman
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