Search for: "The Regulatory Review"
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15 Sep 2015, 9:30 pm
The authors of the PWC report call for a broad evaluation of the international financial regulatory framework and identify some considerations for review. [read post]
11 Sep 2015, 6:24 am
The Financial Industry Regulatory Authority (“FINRA”) has adopted amendments to its equity research rules and an entirely new debt research rule. [read post]
17 Oct 2024, 10:28 am
The Commission on Ethics and Lobbying in Government (COELIG) will hold a live training on October 30 at 1 p.m. to provide an overview of the responsible party regulatory amendments and a review of the changes in COELIG’s Lobbying Application. [read post]
29 Feb 2012, 7:04 am
Bad move, according to the Financial Industry Regulatory Authority (FINRA). [read post]
10 Nov 2008, 8:50 pm
The Des Moines Register reviewed 81 bonus payment programs in over 30 states and found that numerous nursing homes with a below-average care giving rating were receiving quality-of-care bonuses. [read post]
12 Sep 2007, 7:49 am
Governor Jon Corzine (D-N.J.) has requested that the Maritime Administration (MARAD) grant New Jersey "adjacent coastal state" status in the regulatory review process for the Safe Harbor Energy LNG regasification terminal, essentially giving New Jersey equal standing to New York. [read post]
9 Sep 2010, 1:44 pm
The text of the solicitation provision, housed within the investment adviser prohibited conduct rule, is based on language developed by the Regulatory Policy and Review Group of the North American Securities Administrators Association (NASAA).Other rules changes repeal an outdated requirement for delivering a current brochure and supplement to advisory clients; mandate electronic filing of Form ADV, Part II in 2011 for Advisers registered in Wisconsin by December 31, 2010; permit… [read post]
28 Jun 2019, 4:08 am
On 27 June 2019, the European Banking Authority (EBA) published its roadmap on the new market and counterparty credit risk approaches and launched a consultation on eleven draft Regulatory Technical Standards (RTS) on the new Internal Model Approach (IMA) under the Fundamental Review of the Trading Book (FRTB) standards along with a data collection exercise on non-modellable risk factors. [read post]
12 Oct 2022, 8:54 pm
September saw a variety of regulatory changes from ASIC, APRA, AUSTRAC and ACCC in the financial services sector. [read post]
3 Dec 2010, 5:33 am
For the third time in three years, Next Financial Group has been fined by the Financial Industry Regulatory Authority (FINRA). [read post]
20 Jul 2009, 9:30 am
Anita Bernstein (Brooklyn Law School) has posted Implied Reverse Preemption (Brooklyn Law Review , Vol. 74, No. 3, 2009) on SSRN. [read post]
26 Mar 2014, 9:05 pm
“Stupid Warning Shows Up on Leprechaun Hat” [Lowering the Bar, California Prop 65] Lawyers eager to sue over Malaysia Air disaster but first someone has to find the plane [ABA Journal, Bloomberg] Among the many accomplishments of distinguished economist (and total mensch) Murray Weidenbaum: introduction of White House regulatory review [Thom Lambert, David Henderson, Russ Roberts] Quicker but not ultimately cheaper than an appeal: “Losing Plaintiff Hits… [read post]
9 Oct 2007, 8:49 am
The Proposal called for the creation of a new Reinsurance Supervision Review Department to evaluate which foreign regulatory regimes are “functionally equivalent” to the U.S. [read post]
18 Aug 2007, 3:12 am
The post details three recent cases from the federal circuits about when a regulatory takings or inverse condemnation case is ripe for federal review under the Williamson County doctrine (almost never): Association de Subscripcion Conjuncta del Seguro de Responsibilidad Obligatorio v. [read post]
5 May 2010, 5:27 am
Both companies provide services in electronic discovery, computer forensics, early case assessment, web hosting, document review and paper discovery. [read post]
21 Dec 2011, 11:51 am
In some cases, DR/BC planning is a legal or regulatory requirement, but even where it is not, common sense argues for a sound DR/BC plan for any business. [read post]
21 Apr 2010, 7:02 am
FINRA reminded firms today of their requirements for completing due diligence and suitability reviews when participating in sales of private placements, through Regulatory Notice 10-22 and a press release announcing the issuance of the notice. [read post]
19 Sep 2016, 9:04 am
The full document, with the dissents from the Republican Commissioners, required regulatory impact statements and similar routine attachments totals 199 pages. [read post]
28 Oct 2010, 9:21 am
The Financial Industry Regulatory Authority, Inc., is hiring a Case Manager for its Office of the Ombudsman. [read post]
29 Jan 2020, 4:00 am
" Considering this point, the Appellate Division rejected Petitioner's claim that "(1) Education Law §5003 expressly relieves petitioner from having to submit an application seeking to vacate its administrative default before seeking judicial review of the underlying merits or (2) that the absence of a statutory and/or regulatory procedural mechanism for seeking vacatur of an administrative default precludes the agency from otherwise entertaining such an… [read post]
