Search for: "The Regulatory Review"
Results 5041 - 5060
of 28,626
Sorted by Relevance
|
Sort by Date
31 Jan 2022, 2:35 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6275/securities-industry-commentator/Court Finds FINRA Arbitration Process Not Fundamentally Fair (BrokeAndBroker.com Blog)CFTC Charges Texas Resident with Misappropriating Confidential Information and Participating in a Brokerage Kickback Scheme (CFTC Release)Former President of Energy Company Indicted for Commodities Insider Trading and… [read post]
17 Apr 2023, 4:43 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6996/securities-industry-commentator/ FINRA Bars former Securities America Rep For Conversion (BrokeAndBroker.com Blog) Time to Call False Start Penalty Against SEC Reg ATS Rulemaking (BrokeAndBroker.com Blog) 2Cir Remands to EDNY Disparate Sentence In Boiler Room Pumping (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
4 Mar 2022, 10:21 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6335/securities-industry-commentator/Angry E*TRADE Customer Can't Find 750 Shares of Tesla (BrokeAndBroker.com Blog)SEC Denies Awards To Three Whistleblower ClaimantsOrder Determining Whistleblower Award ClaimsSEC Awards $38,000 to Whistleblower Claimant and Denies Award to Second ClaimantsOrder Determining Whistleblower Award… [read post]
13 Nov 2021, 6:37 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6167/securities-industry-commentator/Veteran Stockbroker Sues For Unjust Termination Involving Sales Goals and Outside Business Activities (BrokeAndBroker.com Blog)In re: January 2021 Short Squeeze Trading Litigation / Antitrust Actions (Opinion SDFL)McKinsey Affiliate to Pay $18 Million for Compliance Failures in Handling of Nonpublic… [read post]
6 Mar 2023, 3:30 am
Securities Industry Commentator:A legal, regulatory, and compliance feedcurated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6924/securities-industry-commentator/ The Financial Professionals Coalition: Join Us Today (BrokeAndBroker.com Blog) GUEST BLOG: [In]Securities: No Silver Linings for Silver Edge: How Not to Sell Pre-IPO Funds by Aegis Frumento Esq Blackbook Capital Versus FINRA: A Decade of Battle (BrokeAndBroker.com Blog)... [read post]
1 May 2023, 3:49 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7020/securities-industry-commentator/ A Call for Boycott: FINRA Board of Governors' Cowardly Silence Becomes Thunderous (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
21 Aug 2022, 12:45 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6623/securities-industry-commentator/GUEST BLOG: [In]Securities: Puff! [read post]
8 Jan 2023, 8:58 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6840/securities-industry-commentator/Transfer of AMC Shares From Webull Financial to Fidelity Becomes Unfunny Comedy of Errors (BrokeAndBroker.com Blog)We Got A Version. [read post]
28 Nov 2022, 3:50 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6780/securities-industry-commentator/Sexism on Wall Street: The Cowardly Silence of FINRA's Board of Governors (BrokeAndBroker.com Blog)NOTICE TO CFP® PROFESSIONALS REGARDING FINANCIAL ADVICE ABOUT CRYPTOCURRENCY-RELATED ASSETSVirtu Financial Sues SEC Citing Violation of the Freedom of Information ActVirtu Financial, Inc., Plaintiff, v.… [read post]
7 Aug 2023, 4:51 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7136/securities-industry-commentator/ Bill Singer Renews Call To Boycott FINRA 2023 Elections (BrokeAndBroker.com Blog) The FINRA Crypto Hub-bub and William of Ockham (BrokeAndBroker.com Blog) Financial Professionals Coalition, Ltd. [read post]
16 Oct 2022, 10:17 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6719/securities-industry-commentator/Frustrated Interactive Brokers Customer Can't Get No Satisfaction With Tesla Order (BrokeAndBroker.com Blog)FINRA Takes Wells Fargo Stockbroker Outback to a Bar for a Second Round (BrokeAndBroker.com Blog)Deferred Compensation Case Meanders to FINRA Arbitration to Federal Court to State Court to Dumpster… [read post]
28 Nov 2012, 6:41 am
On behalf of the Natural Resources Defense Council (NRDC), we filed a petition last week before the Nuclear Regulatory Commission (NRC) seeking the waiver of an NRC regulation that would otherwise preclude NRDC from challenging the relicensing of the Limerick nuclear power plant outside Philadelphia. [read post]
3 Jan 2023, 3:20 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6827/securities-industry-commentator/Imagine That a $10 Million FINRA Arbitration Claim Settles for $100,000 (BrokeAndBroker.com Blog)Federal Court Says Customer Had Duty To Notify Schwab of Malfunctioning Order System (BrokeAndBroker.com Blog)Removal of FINRA Arbitrator Cited by Schwab and Interactive Brokers in HFT Customer Dispute… [read post]
21 May 2012, 11:46 am
The Federal Energy Regulatory Commission recently issued a Notice of Inquiry seeking comment on whether and/or how FERC should revise its current policy concerning priority rights on interconnection lines that connect generators to the larger transmission grid. [read post]
15 May 2023, 3:55 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7044/securities-industry-commentator/ FINRA Fines and Suspends Rep For Borrowing from Friend During Covid Pandemic (BrokeAndBroker.com Blog) JP Morgan Caught In The Middle of Dueling Address Changes in Customers' Divorce (BrokeAndBroker.com Blog) ... [read post]
29 Nov 2016, 10:46 am
This past week, several self-regulatory consumer actions made headlines that affect the retail industry. [read post]
14 Feb 2012, 8:31 am
Stay tuned for our next post, which will discuss strategies to address recent developments in the regulatory review process. [read post]
22 Jun 2017, 11:15 am
"The regulatory impulse of the earlier corporations statutes ... simply moved to federal law" https://t.co/uIddhM1C0N #corpgov— Stefan Padfield (@ProfPadfield) June 17, 2017 "Delaware Supreme Court’s attitudes towards recurring third-party M&A scenarios have evolved significantly" https://t.co/wV2jxbMLMx #corpgov— Stefan Padfield (@ProfPadfield) June... [read post]
27 Mar 2017, 4:00 am
Environmental assessment is a planning, not regulatory, tool. [read post]
11 Mar 2018, 2:48 pm
Unlike in those other contexts, however, there is no systematic regulatory apparatus to guide or review the exercise of presidential control over international law. [read post]
