Search for: "The Regulatory Review"
Results 5721 - 5740
of 28,627
Sorted by Relevance
|
Sort by Date
18 Jan 2022, 3:17 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6250/securities-industry-commentator/A Bankruptcy, a Voluntary Dismissal, and a Death (BrokeAndBroker.com Blog)Federal Reserve Board releases discussion paper that examines pros and cons of a potential U.S. central bank digital currency (Federal Reserve Release)Tyler Man Indicted for Using Stolen Valor to Defraud Investors (DOJ Release)Hollywood… [read post]
3 Dec 2021, 12:59 pm
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6203/securities-industry-commentator/Trader Indicted for Commodities Insider Trading Scheme (DOJ Release)SEC Obtains Judgments Against Bitconnect's Lead National Promoter and His Company for Antifraud and Registration Violations (SEC Release)SEC Charges Tech Employee and His Brother-In-Law with Insider Trading (SEC Release)Russian National… [read post]
24 Jul 2023, 4:11 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/7124/securities-industry-commentator/ SEC Chief Accountant Lays a Cobblestone on the Road to Hell Paved with Good Intentions (BrokeAndBroker.com Blog) A Lawyer Wearing Two Hats Raises The Ire Of The SEC In Motion To Compel Production Of Documents (BrokeAndBroker.com Blog) A Not So Final Closing of the Purchase of a Broker Dealer… [read post]
13 Mar 2023, 4:17 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6936/securities-industry-commentator/ A Form Of Lunacy Has Overtaken The SEC (BrokeAndBroker.com Blog) FINRA's Travesty of a Transamerica Settlement (BrokeAndBroker.com Blog) Morgan Stanley Granted TRO Against Advisor Who Joined LPL / After a whirlwind two days of motion-slinging, the parties agreed to arbitration. [read post]
27 Feb 2023, 3:10 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6912/securities-industry-commentator/ GUEST BLOG: [In]Securities: DOJ Rides a Horse with No Name: Rule 10b5-1 Plans Cannot be "Fraudulently Misused" by Aegis Frumento Esq (Guest Blog / BrokeAndBroker.com Blog) SEC No Longer Believable When It Comes To Whistleblower Award Denials (BrokeAndBroker.com Blog) Legendary Industry… [read post]
18 Jul 2022, 4:06 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6563/securities-industry-commentator/GUEST BLOG: [In]Securities: They’re All Here: The Three Circles of Securities Fraud Hell by Aegis Frumento Esq (BrokeAndBroker.com Blog)Notice of Annual Meeting of FINRA Firms and Election Proxy (FINRA Election Notice)VOTE FOR STEPHEN A. [read post]
26 Jun 2022, 6:42 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6527/securities-industry-commentator/GUEST BLOG [In]Securities: Highwaymen: The SEC Pulls Off a Brinks Heist by Aegis Frumento Esq (BrokeAndBroker.com Blog)A Finra Arbitration Descended Into Acrimony. [read post]
27 Mar 2023, 4:05 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6960/securities-industry-commentator/ GUEST BLOG: [In]Securities: The Influencers: The SEC Grounds Stars' TRX by Aegis Frumento Esq (BrokeAndBroker.com Blog) FINRA Shamefully Fines and Suspends Rep For Mistakenly Using A Rep Code (BrokeAndBroker.com Blog) FINRA Doesn't Bank On It When It Comes To Wife Of Former UBS… [read post]
17 Jan 2023, 3:56 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6851/securities-industry-commentator/ Calling All Unreasonable Wall Street Professionals (BrokeAndBroker.com Blog) DOJ RELEASES Founder and Majority Owner of Bitzlato, a Cryptocurrency Exchange, Charged with Unlicensed Money Transmitting / Bitzlato Ltd. [read post]
7 Nov 2021, 7:09 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/6154/securities-industry-commentator/SEC Files Subpoena Enforcement Action Against Terraform Labs and Its CEO (SEC Release)Justice Department Sues Uber for Overcharging People with Disabilities (DOJ Release)South Bay Man Sentenced to Over 8 Years in Prison for Movie Investment Scam and for Fraudulently Selling House Bought with Illicit Proceeds… [read post]
31 May 2022, 8:09 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6478/securities-industry-commentator/Let's Go to the Video: SEC Gamifies Wall Street Regulation During Pandemic And Economic Crisis (BrokeAndBroker.com Blog)Former Tennessee Securities Broker-Dealer Sentenced To 78 Months' Imprisonment For Embezzling $5.7 Million From Employee Pension Benefit Plan (DOJ Release)Los Angeles Man Sentenced… [read post]
31 Oct 2018, 6:00 am
Thus, I propose an enhanced regulatory framework for carebots that addresses a patient’s autonomy concerns in addition to safety and efficacy. [read post]
2 Apr 2023, 9:05 pm
This term, the U.S. [read post]
3 Mar 2022, 11:30 am
Although state regulators are usually the ones who pay most attention to these campaigns to ensure that companies comply with the law, two decisions issued by NAD this week signal that the self-regulatory body will also be monitoring these types of campaigns and holding companies accountable. [read post]
26 May 2009, 3:10 am
As it eventually evolves into specific agency statements and policy, it promises to create a hodge-podge regulatory quilt, under which business will struggle with product safety decisions which will comply with federal, national standards, be upheld in some state jurisdictions, but nevertheless be subject to review by lay juries in others. [read post]
22 Oct 2019, 8:01 am
President Donald Trump has signed an executive order that commits the Department of Health and Human Services (HHS) to taking a series of regulatory and subregulatory actions intended to enhance the fiscal sustainability of the Medicare program, reduce regulatory burdens on providers, and increase beneficiary choice. [read post]
20 Dec 2011, 2:13 pm
Beach nourishment to the rescue: through an extensive regulatory review process, beach nourishment can restore and protect vital sea turtle nesting habitat. 19 Southeastern Envtl. [read post]
3 Sep 2015, 8:52 am
., France, Luxembourg, Ireland and China account for 90 percent of global assets under management in MMFs, but China and the EU members are still developing and finalizing the relevant reforms.The statistics are included in the newly released report on the peer review of regulation of money market funds, which IOSCO undertook in response to a request from the G20 leaders in September 2013 for IOSCO to conduct a peer review on progress regarding MMF regulatory reforms. [read post]
15 Sep 2015, 2:20 pm
(Case review done by attorney Tom Lamb) [read post]
30 Mar 2017, 6:58 pm
Commentary This decision by EPA under the Trump Administration to deny the petition is not surprising, given the rhetoric of reducing regulatory burdens and the need to stop regulatory “overreach” by agencies like EPA which has been accused of making politically driven decisions. [read post]
