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20 Nov 2009, 5:44 am
., Walnut Street Securities, and Tower Square Securities - are facing a fine of $1.2 million by the Financial Industry Regulatory Authority (FINRA) for failing to properly monitor and review their brokers’ email correspondence with the public. [read post]
29 Dec 2020, 11:28 am
The Small Business Regulatory Enforcement Fairness Act (SBREFA) and the Dodd-Frank Act require the CFPB to convene a Panel when developing rules that may have a significant economic impact on a substantial number of small businesses. [read post]
2 Aug 2008, 10:27 am
As CDER grapples with questions regarding how to regulate nanomaterial-containing products, several issues have surfaced, including 1) what are the types of nanotechnology applications that will be reviewed by CDER, 2) what are the unique features of these applications that may pose a scientific and/or regulatory challenge to reviewers, 3) are FDA’s current regulatory requirements adequate for the evaluation of nanomaterial-containing products, and 4)… [read post]
14 Dec 2010, 8:24 am
” NYSDEC reviewed over 14,000 comments to the Draft SGEIS over the course of several months. [read post]
16 May 2023, 9:18 am
The White Law Group reviews the regulatory history of Securian Financial Services. [read post]
22 Dec 2009, 6:00 am
Therefore, the court held that the indirect source review fees adopted in this case were regulatory and not development fees. [read post]
15 Mar 2017, 6:23 am
In February 2017, the Financial Industry Regulatory Authority Inc. [read post]
3 Jul 2012, 11:56 am
Board of Directors, Trillium Health Centre — 2012 Decision of the Health Professions Appeal and Review Board. [read post]
10 Oct 2023, 1:50 pm
”[17] And the Biden Administration stated in its initial response to the decision that it intends to use other legal authorities to fill the alleged regulatory gap.[18] Without clarity in the Conforming Rule on areas such as the degree of surface connection, the EPA and Corps could use other regulatory devices, such as guidance documents, to add requirements where the Sackett decision is silent. [read post]
19 Jun 2009, 2:35 pm
The Department of Treasury released its financial regulatory reform proposal on June 17. [read post]
20 Jul 2015, 1:10 pm
(citing law review article). [read post]
2 Apr 2015, 9:46 am
We previously cautioned employers when FINRA issued a Regulatory Notice cracking down on the use of confidentiality provisions that restrict employees from communicating with FINRA, the SEC, or any other self-regulatory organization or regulatory authority. [read post]
25 Apr 2016, 4:00 am
Regulatory Reform? [read post]
9 Nov 2024, 5:11 am
My article argues that we should be cautious about viewing IP as a primary regulatory tool. [read post]
8 Nov 2019, 1:01 pm
The present investigation assesses the status of this hypothesis within the industrial, regulatory, scientific, medical, and legal communities. [read post]
14 Feb 2017, 3:42 am
In accordance with the memorandum of January 20, 2017, from the Assistant to the President and Chief of Staff, entitled "Regulatory Freeze Pending Review," this action delays the effective date of that final rule 60 days from the date of the January 20, 2017 memo. [read post]
18 Jan 2013, 6:06 am
Smith is a partner at Morrison & Foerster LLP focusing on bank regulatory matters. [read post]
11 Mar 2020, 11:08 am
The memorandum states that EPA “feels that 15 additional days should be sufficient to allow for adequate review of the Proposed Decision and supporting documentation. [read post]
8 Nov 2019, 1:01 pm
The present investigation assesses the status of this hypothesis within the industrial, regulatory, scientific, medical, and legal communities. [read post]
30 Mar 2010, 10:34 am
First, Regulatory Notice 09-19 states that as of June 15, 2009, FINRA began reviewing its records to identify persons that met any of the additional conditions that would require the filing of an application under the revised Rule 9520 Series. [read post]
