Search for: "The Regulatory Review Staff"
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9 Dec 2009, 9:14 am
The externs will work with FINRA Ombuds staff in performing a variety of tasks including research, analyses and writing, document review, as well as providing assistance in developing statistical reports, as well as quarterly and annual management reports preparing for investigative testimony and hearings. [read post]
16 Apr 2020, 4:47 pm
In conjunction with the Locke Lord COVID-19 task force, we are reviewing, analyzing, and compiling regulatory updates to provide clients easy access to information during this unprecedented time. [read post]
30 Dec 2022, 9:05 pm
The Regulatory Review is pleased to highlight our top 25 Saturday Seminars of 2022 authored by members of our staff. [read post]
19 Jun 2012, 9:30 pm
The OMB staff initially flagged the Agriculture rule for review because tomatoes are a fruit, not a vegetable. [read post]
9 Feb 2012, 1:23 pm
In a 4-1 vote, the Commission found the staff's review adequate to make the necessary regulatory safety and environmental findings, clearing the way for the NRC's Office of New Reactors to issue the COLs. [read post]
31 Aug 2012, 7:49 am
NFA Orders External AuditIn the wake of the Peregrine Financial scandal, the National Futures Association (NFA) has ordered an external review of its operations, and may cut staff bonuses, according to several sources. [read post]
7 Jun 2021, 8:23 am
It’s also important that the CSRB not be part of a regulatory agency. [read post]
15 May 2022, 9:02 pm
The Regulatory Review invited experts and ACUS staff who participated in developing these recommendations to share insights on their importance for improving administrative government. [read post]
12 Apr 2011, 8:00 am
Darrell Issa in response to his request for her views and information on issues affecting smaller companies includes an important note at the end, in a section called “Future Steps,” which is worth repeating in whole: “I recently instructed the staff to review the impact of our regualtions on capital formation for small businesses, specifically focusing on issues such as: the restrictions on communications in initial public offerings; whether the general… [read post]
13 Apr 2020, 4:59 pm
In conjunction with the Locke Lord COVID-19 task force, we are reviewing, analyzing, and compiling regulatory updates to provide clients easy access to information during this unprecedented time. [read post]
21 Feb 2024, 7:28 am
The company said the incidents occurred “throughout every part of the hospital” and involved more than 10% of staff in every role “from nurses to physicians, to cafeteria and gift shop workers. [read post]
13 Jun 2018, 7:02 am
At present, SEC staff comment letter dialogs with companies are released on EDGAR no earlier than 20 business days following the completion of the filing review process. [read post]
15 Dec 2011, 1:02 pm
I asked my staff to check out this accusation, and let me tell you what they found. [read post]
26 Apr 2021, 9:08 pm
Without review, regulatory protections on food safety, vaccines and pharmaceuticals, and medical devices could expire. [read post]
19 Jul 2010, 2:20 pm
The report followed an oversight review of the MFDA's regulatory functions by staff at various provincial securities regulators to (i) assess whether the MFDA is in compliance with the relevant terms and conditions of its recognition orders; (ii) determine whether the MFDA's regulatory processes are efficient, effective, consistent and fair; and (iii) evaluate whether the MFDA has adequate staffing, resources and training to… [read post]
21 Apr 2020, 4:11 pm
In conjunction with the Locke Lord COVID-19 task force, we are reviewing, analyzing, and compiling regulatory updates to provide clients easy access to information during this unprecedented time. [read post]
28 Dec 2015, 8:16 am
Jason Howard, J.D.The SEC has voted to issue an advanced notice of proposed rulemaking addressing new requirements for transfer agents along with a concept release requesting public comment on the Commission’s broader review of transfer agent regulation.Exiting Commissioner Luis Aguilar commended Chair White, Commissioners Stein and Piwowar and the staff for addressing an issue that has been a concern of his for some time. [read post]
27 Jun 2023, 11:01 am
This includes staff and resources in ORA’s Office of Regulatory Management Operations, Office of Information Systems Management, Office of Training, and Office of Communications and Project Management. [read post]
12 Jun 2020, 1:27 pm
In the event that a technical report is being prepared in connection with a prospectus offering, mining issuers may wish to take advantage of the recently announced confidential pre-filing review process set out in CSA Staff Notice 43-310 – Confidential Pre-File Review of Prospectuses, pursuant to which the issuer may request securities regulatory staff to confidentially review in advance the contents of a prospectus, together with… [read post]
21 Dec 2010, 9:13 am
Institution of Privacy Reviews During Product and Service Development. [read post]
