Search for: "The Regulatory Review Staff"
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9 May 2011, 7:32 pm
In a letter to the SEC, Republican members of the Senate Banking Committee asked for an SEC Inspector General review of the economic analyses performed by the Commission with regard to six specific and significant Dodd-Frank regulatory implementation initiatives. [read post]
7 Nov 2020, 3:38 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5531/securities-industry-commentator/Tulare County Man Arrested for Over $8 M Fraud that Purported to Turn Cow Manure into Renewable Energy (DOJ Release)SEC Charges Former Wells Fargo Executives for Misleading Investors About Key Performance Metric (SEC Release)Michigan and New Jersey Men Admit Participating in $10 Million Multi-State Bank… [read post]
December 14, 2009 – Environmental Law Settlements, Decisions, Regulatory Actions and Lawsuit Filings
13 Dec 2009, 8:58 pm
December 14, 2009 – A summary review of environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
25 Apr 2024, 6:52 am
Go big or go home, they say. [read post]
24 Jun 2024, 9:01 pm
The staff in the Disclosure Review Program also plays an integral role in facilitating capital formation through their reviews of registration statements. [read post]
24 Sep 2023, 5:40 am
“I’ve guided clients on reviews involving everything from IP cases to regulatory probes to liability lawsuits,” he explained. [read post]
27 Mar 2020, 8:27 am
The NAIC staff has suggested that each state coordinate their inquiries through the lead state for which the domestic is a part of. [read post]
30 Nov 2021, 9:21 am
By December 10, those stations must have submitted to the FCC staff a compliance report required by the decree. [read post]
28 Apr 2013, 9:30 pm
In his revealing new book about his nearly four years as President Barack Obama’s “regulatory czar,” Harvard Law School professor Cass Sunstein describes a striking moment: “After I had been in the job for a few years, a Cabinet member showed up at my office and told my chief of staff, ‘I work for Cass Sunstein. [read post]
December 29, 2009 – Environmental Law Settlements, Decisions, Regulatory Actions and Lawsuit Filings
29 Dec 2009, 5:46 pm
December 29, 2009 – A summary review of environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
2 Nov 2009, 1:39 am
Cushing mentioned that some CTA firms will actually use a previous NFA audit as a kind of "stamp of approval" by the regulatory agency. [read post]
10 Nov 2023, 6:00 am
The review is co-published with Tech Policy Press here.) [read post]
2 Mar 2021, 6:36 am
The staff will be reviewing these platforms that facilitate trading in digital asset securities to determine whether they meet the definition of an exchange or if they qualify for an exemption. [read post]
13 Jul 2009, 4:27 am
We'll be posting memos analyzing this proposed legislation in our "Regulatory Reform" Practice Area. [read post]
3 Aug 2023, 6:05 am
At that point, staff typically communicates with any outside authors but that didn’t seem to have happened here as Patr [read post]
31 May 2019, 1:20 pm
Our regulatory practice group assists financial service providers with complex issues that arise in the course of their business, including complying with federal and state laws and rules. [read post]
24 Sep 2011, 12:06 pm
The staff is also observing COSO’s project to review and update its internal control framework, which is the most common framework used by management and auditors alike in performing assessments of internal control over financial reporting. [read post]
14 Apr 2016, 6:23 am
Today [April 13, 2016], the Commission will consider two separate recommendations from the staff. [read post]
21 Jan 2024, 9:06 pm
*Deputy Commissioner for Operations Jim Sing *Commissioner for Regulatory Affairs Michael Rogers, M.S. [read post]
4 Jul 2023, 9:05 pm
When considering the tragedies and cycles of abuse perpetuated by wilderness therapy programs, lawmakers should address this ongoing threat to child welfare, conclude Pollack, Eisenberg, and Shipp.The post The Troubling Reality of Wilderness Therapy first appeared on The Regulatory Review. [read post]
