Search for: "The Regulatory Review Staff"
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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]
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]
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]
18 Oct 2016, 5:00 am
But in the area of enforcement, the staff has been active and aggressive, he said. [read post]
19 Feb 2025, 11:15 am
Enhancing staff training on proper fraud warning procedures3. [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]
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]
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]
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]
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]
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]
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]
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]
6 Sep 2011, 6:17 am
After the close of the comment period, the agency will review the comments, and, based on the feedback, determine whether to modify or repeal the rule to address the concerns raised, to reflect changes in the marketplace, or to reduce undue regulatory burden. [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]
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]
26 Apr 2021, 9:08 pm
Without review, regulatory protections on food safety, vaccines and pharmaceuticals, and medical devices could expire. [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]
1 Jun 2025, 9:04 pm
The Regulatory Review invited distinguished scholars and ACUS staff to discuss the agency’s December 2024 recommendations. [read post]
15 May 2023, 9:12 am
“I congratulate all the graduating students who served on The Regulatory Review staff and wish them continued success in all that they will achieve in the years ahead,” Coglianese added. [read post]
