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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]
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]
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]
8 Jun 2023, 9:05 pm
Even though some of the regulations have merit, others would create high regulatory costs and other negative consequences that would outweigh any benefits. [read post]
26 Apr 2024, 1:05 pm
As we posted on Tuesday, the Federal Trade Commission (FTC) has at long last issued its final regulatory rule banning virtually all existing and future U.S. non-compete agreements. [read post]
5 Jul 2023, 7:59 am
The Commission reviewed the 108 comments it received and amended the final Guides based on those comments. [read post]
16 Nov 2022, 9:06 pm
” He urges legislators and the judiciary to remember the core constitutional issue at stake when considering laws that restrict abortion: namely, whether the government can force anyone to carry a pregnancy to term and become a parent.The post Freedom of Compelled Pregnancy and Childbirth first appeared on The Regulatory Review. [read post]
12 May 2021, 9:06 pm
Jacewicz argues that “the Endangered Species Act was written in a capacious way to generously protect biodiversity” and that it is time to use the Act to protect future biodiversity as well.The post Protecting Future Biodiversity first appeared on The Regulatory Review. [read post]
7 Oct 2024, 9:05 pm
By addressing the shortcomings of SIMP, federal regulators would curtail harmful fishing practices, protecting the global fishing supply for future generations, concludes Landry.The post Tackling Illegal and Unregulated Fishing first appeared on The Regulatory Review. [read post]
19 Oct 2022, 9:06 pm
He argues that replacing criminality as the primary filter for deportation is critical to moving toward effective immigration policy and away from racial discrimination and social control.The post Refocusing Deportation Law first appeared on The Regulatory Review. [read post]
8 Nov 2023, 9:05 pm
Because private firms and infrastructure providers cannot be relied on to curb the spread of disinformation and extremism, regulators must act to create uniform guidance for content moderation on digital platforms, Agarwal, Ananthakrishnan, and Tucker conclude.The post The Limits of Deplatforming first appeared on The Regulatory Review. [read post]
24 Oct 2023, 9:05 pm
” By reforming CRP to match solar developers with fallow farmland, Congress can mitigate the climate crisis—and perhaps reduce political polarization as well.The post Farming for Renewable Energy first appeared on The Regulatory Review. [read post]
22 Mar 2019, 11:00 am
The presentation “Whither the CFPB: State Unfair Deceptive Abusive Acts Practices, Regulatory and Private Sector Compliance Issues, Activities and Requirements” will review the most recent federal and state mortgage, title insurance, and real estate brokerage regulatory actions. [read post]
22 Sep 2022, 6:31 am
Ribstein drew three conclusions from that study: First, the appropriate regulatory course is often unclear, given the uncertain costs and benefits of regulation. [read post]
14 Nov 2023, 8:41 pm
This new version updates the original Circular A-4 from 2003 pursuant to Executive Order 14094, “Modernizing Regulatory Review. [read post]
