Search for: "The Regulatory Review"
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17 Mar 2014, 11:44 am
The court instead concluded that the company’s investigations were conducted pursuant to “regulatory law and corporate policy,” rather than for the purpose of obtaining legal advice. [read post]
15 Dec 2021, 9:23 am
Disclosures, marketing practices, and gatekeeper obligations are seen as areas of concern.Wolters Kluwer Senior Legal Analysts Lene Powell and Mark Nelson review regulatory, legislative, and enforcement developments, including an in-depth look at SEC comment dialogues about certain SPACs that later became embroiled in litigation. [read post]
4 Apr 2014, 7:10 am
Infrequent review of a subject area is one of the things that can make for inefficient research, especially in a regulatory rich subject like environmental law. [read post]
11 Feb 2021, 8:52 am
January 20, 2021: Joe Biden becomes president and freezes regulatory actions pending review. [read post]
22 May 2013, 9:06 pm
FERC also reviews proposals to build liquefied natural gas (LNG) terminals and interstate natural gas pipelines as well as licensing hydropower projects. [read post]
16 Jun 2015, 9:00 am
Petitioners Aera Energy LLC and several other natural gas and transportation companies seek review of different aspects of seven orders issued by the Federal Energy Regulatory Commission during rate proceedings. [read post]
14 Jan 2015, 7:54 am
HHS has sent to the White House Office of Management and Budget (OMB) for final regulatory clearance a proposed rule on Stage 3 meaningful use criteria for the Medicare and Medicaid Electronic Health Record (EHR) Incentive Programs. [read post]
18 Oct 2013, 7:43 am
The briefing paper, “SEC Implements Dodd-Frank Municipal Advisor Regulatory Regime Against Backdrop of Pending Legislation,” is available for download here. [read post]
11 Feb 2021, 8:51 am
January 20, 2021: Joe Biden becomes president and freezes regulatory actions pending review. [read post]
5 Dec 2013, 3:17 pm
Given that the Bureau has spoken about, reviewed and on a number of occasions commenced enforcement in the regulated professions area, today’s announcement confirms one of the its continued priority areas: associations and the professions. [read post]
2 Dec 2014, 8:53 am
Midland and joint petitioner National Rural Electric Cooperative Association ("NRECA") sought review. [read post]
30 Jun 2013, 10:11 pm
This post draws from the author’s forthcoming article in the Michigan Law Review, “Private Control Over Access to Public Law: The Puzzling Federal Regulatory Use of Private Standards. [read post]
10 Feb 2016, 7:42 am
Five years ago, we noted the changes that the Act made in the broadcast regulatory world – changes that are still being debated 20 years later. [read post]
17 Apr 2017, 9:05 am
Wampanoag Tribe of Gay Head (Aquinnah) (Indian Gaming Regulatory Act – Tribal Governmental Power) U.S. [read post]
3 Dec 2017, 9:38 am
FINRA also found that the firm failed to consistently follow the written procedures that did exist such as failing to document the review as described in the procedures. [read post]
5 Sep 2024, 12:07 pm
Investors 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]
1 Dec 2015, 6:28 am
According to the BrokerCheck records kept by Financial Industry Regulatory Authority (FINRA) McKinstry has been the subject of at least 5 customer complaints, 2 regulatory actions, and two employment terminations. [read post]
24 Jul 2008, 12:52 am
The memorandum briefly reviews the issues that were debated concerning the regulatory exclusion in the last era of failed banks. [read post]
17 May 2021, 7:42 am
Under the January 2021 Rule, the regulatory changes were originally scheduled to take effect on March 15, 2021. [read post]
18 May 2012, 1:26 pm
Recently, the United Kingdom’s Upper Tribunal overturned a decision of the Financial Services Authority (FSA) that held a top bank executive liable for failure to take reasonable steps to adequately address certain regulatory compliance problems. [read post]
