Search for: "The Regulatory Review Staff"
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23 Jun 2022, 9:01 pm
Chair Gensler’s Regulatory Flexibility Agenda[1] for the Securities and Exchange Commission sets forth flawed goals and a flawed method for achieving them. [read post]
30 Aug 2021, 10:50 am
The EC states that it will publish the outcome of the review, including a summary of the feedback and statistical analysis of the responses, as an EC Staff Working document in 2021. [read post]
17 Jul 2022, 9:05 pm
This small and cursory sampling of the 2021-2022 cases illuminates how the Roberts’ Court is fundamentally shaping the future of health care law and policy—and, equally, how health care laws serve as fodder for fundamental shifts in legal doctrine.The post A Review of Health Care in the Court first appeared on The Regulatory Review. [read post]
25 Jul 2017, 3:00 am
We’re posting memos on reform ideas in our “Regulatory Reform” Practice Area. [read post]
29 Dec 2023, 9:05 pm
The Regulatory Review is pleased to highlight our top 25 “Saturday Seminars” of 2023 authored by members of our staff. [read post]
1 Oct 2010, 12:07 pm
andnbsp;andnbsp; EXECUTIVE SUMMARY On May 6, 2010, the prices of many U.S. [read post]
6 May 2024, 8:41 am
The New York Times has also recently released an interactive timeline of The Book Review's Best Books Since 2000. [read post]
28 Dec 2022, 10:31 am
In the months following that update, SEC staff commented extensively via the filing review process on how companies were complying (or not complying) with the updated Compliance and Disclosure Interpretations (C&DIs). [read post]
18 Apr 2019, 3:00 am
In a recent speech, Commissioner Peirce expressed concern about the extent to which the SEC Staff provides non-public guidance about unresolved regulatory questions. [read post]
29 Jul 2011, 6:00 am
The SEC staff released a report recommending that broker-dealers improve training for employees and implement new oversight for the sale of structured securities products. [read post]
7 Nov 2021, 9:02 pm
The Regulatory Review invited experts and ACUS staff who participated in developing these recommendations to share insights on how they can improve administrative government. [read post]
20 Nov 2022, 5:43 am
Earlier this month at the 2022 NAAG Consumer Protection Fall Conference panelists including current and former AG personnel discussed recent consumer protection legislation and rulemakings that have been implemented or proposed, as well as recent court actions affecting consumer protection laws to provide AGs and staff a year in review. [read post]
14 Apr 2021, 8:00 am
To which many veteran industry regulatory/compliance lawyers and staff would respond: Who gives a crap what FINRA merely believes? [read post]
25 Aug 2023, 9:35 am
Providers must certify implementation of a Compliance Program satisfying the regulatory requirements upon enrollment and annually thereafter. [read post]
28 Apr 2021, 5:56 am
The Risk Alert provides the clearest roadmap to date of the areas the Division staff will focus on when reviewing ESG investing and the ways the staff will use current regulatory tools and requirements to remind advisers of the SEC’s expectations and shape their behavior. [read post]
18 Oct 2016, 5:00 am
But in the area of enforcement, the staff has been active and aggressive, he said. [read post]
14 Jul 2022, 7:37 am
For example, staff could have worked immediately on addressing outstanding issues around proxy plumbing and, in several years, on conducting a retrospective review of the 2020 Rules. [1] Instead, the request made of the staff was a difficult and pointless one—find a way to redo a freshly adopted rule without any new information to suggest that such a rewrite is warranted. [read post]
14 Jul 2022, 7:37 am
For example, staff could have worked immediately on addressing outstanding issues around proxy plumbing and, in several years, on conducting a retrospective review of the 2020 Rules. [1] Instead, the request made of the staff was a difficult and pointless one—find a way to redo a freshly adopted rule without any new information to suggest that such a rewrite is warranted. [read post]
2 May 2022, 8:36 pm
Additionally, risk of unfair and discriminatory bias exists in the data the algorithm reviews on its own. [read post]
1 Mar 2011, 2:04 pm
Its 2009-2010 Annual Review , especially the Comparative Tables, provides an insight into the changing nature of the customer-financial services provider relationship and regulatory supervision. [read post]
