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10 Oct 2009, 12:18 pm
By Shannon LandrethIn a matter of first impression, the Indiana Court of Appeals held that the Indiana Utility Regulatory Commission (IURC) did not lose its jurisdiction by failing to promptly review, at the request of campground owners, the rates and fees charged by a regional sewage district. [read post]
7 Apr 2011, 5:40 pm
Two regulatory changes have been announced in relation to financial planners: regulatory arrangements for financial planners who provide tax advice within the context of providing financial advice, to take effect from 1 July 2012. the release of Consultation Paper 153 Licensing: Training and assessment framework for financial advisers (CP 153) containing proposals relating to the assessment and professional development of financial advisers of Tier 1 products and changes to RG146.… [read post]
16 Feb 2011, 5:04 pm
The aim is to make the proposed change without waiting for the next formal review of the Code in 2013. [read post]
25 Sep 2022, 9:04 pm
first appeared on The Regulatory Review. [read post]
24 Mar 2021, 9:05 pm
Like the United States, the Navajo Nation should not move its troubles behind without first learning from them.The post An Open Challenge to the Navajo Nation’s Land Use Authority first appeared on The Regulatory Review. [read post]
8 Dec 2023, 11:11 am
You can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
2 Jul 2011, 5:31 am
The Secretary’s actions are exempted from regulatory review. [read post]
8 Aug 2016, 10:00 pm
” The review is being managed by Rod Ainsworth, FSA’s director of legal and regulatory strategy. [read post]
26 Oct 2009, 8:49 am
The Investment Industry Regulatory Organization of Canada (IIROC) has published a market regulation policy update for October 2009. [read post]
25 May 2023, 8:00 am
*This post is part of a symposium on Modernizing Regulatory Review. [read post]
3 Jun 2009, 3:01 pm
The truth is that they play an essential role in the securities regulatory process. [read post]
7 Jan 2011, 12:09 pm
Radford have posted Deciphering and Extrapolating: Searching for Sense in Penn Central on SSRN ("Penn Central ... is considered the “pole star” of regulatory takings law, but it offers little, if any, guidance for courts reviewing takings claims. ... [read post]
28 Dec 2010, 6:07 pm
Custodians usually will work with an independent review committee to vet new clients, conduct background and credit checks, and review ADV and U-4 forms. [read post]
15 Jan 2015, 7:24 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned Popular Securities, Inc. [read post]
4 Apr 2024, 9:02 pm
It seems unwise to scale back or slow down compliance efforts — “regulatory uncertainty” already exists. [read post]
16 Aug 2023, 9:04 am
The White Law Group reviews the regulatory history of Securities America Inc. [read post]
8 Nov 2018, 9:30 pm
EPA Acting Administrator Andrew Wheeler claimed that this policy “will remove undue regulatory barriers. [read post]
2 Aug 2018, 9:30 pm
” WHAT WE’RE READING THIS WEEK In a forthcoming article for the UC Davis Law Review, professor Howard F. [read post]
5 Mar 2020, 9:05 pm
FLASHBACK FRIDAY In a 2018 essay for The Regulatory Review, Daniel Araya discussed the challenges of regulating cryptocurrency. [read post]
27 Jul 2016, 9:34 am
For those of you who want to understand the Department’s position without skipping the latest paperback thriller while on vacation, I highly recommend this detailed review of the Department’s arguments by Rebecca Moore at Planadviser. [read post]
