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8 Feb 2011, 1:26 pm
To reduce barriers to growth and investment, I've ordered a review of government regulations. [read post]
12 Jul 2019, 4:37 pm
With the imposition of new regulatory obligations and standards, these significant barriers to entry will only grow. [read post]
23 Jan 2018, 4:50 am
CFTC impact on the contract review process. [read post]
25 Apr 2017, 5:00 am
In Free Enterprise Fund, the Court held that the Exchange Act’s administrative review scheme did not deprive district courts of subject-matter jurisdiction over a challenge to the legality of the regulatory body at issue. [read post]
19 Jul 2018, 4:00 am
Did the regulatory agency use "special technical expertise in the applicable field. [read post]
13 Nov 2021, 6:37 am
Of course, Wall Street's rules are nothing but ticky-tacky at times, and the failure to dot an "i" or cross a "t" is the grist on which the industry's compliance and regulatory mills turn.The Ex-Wife, the Ex-H... [read post]
10 Oct 2022, 4:49 am
All of which set the stage for a 2022 FINRA regulatory settlement whereby the former SVP was fined and suspended. [read post]
8 Aug 2022, 4:02 am
Those lines are summoned up by a recent FINRA regulatory settlement barring a former Merrill Lynch employee for getting paid unearned overtime. [read post]
6 Sep 2022, 4:06 am
by Aegis Frumento Esqhttps://www.brokeandbroker.com/6639/aegis-frumento-insecurities-mantle/As securities lawyer Aegis Frumento sees it, we need a new kind of regulatory structure for cryptoassets. [read post]
24 Apr 2023, 3:33 am
The Six-Year FINRA and SEC Regulatory Saga of Craig Scott Capital (BrokeAndBroker.com Blog... [read post]
14 Nov 2022, 3:08 am
FINRA Fines and Suspends Former SagePoint Rep Who Didn't Actually Know Anything (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6768/finra-awc-actually/Quite often, Wall Street's regulatory settlements leave me feeling ambivalent. [read post]
18 Mar 2022, 11:51 am
Stockbroker Wins Expungement of Two Edward Jones Customer Complaints (BrokeAndBroker.com Blog)http://www.brokeandbroker.com/6361/finra-expungement/Why expungements are processed by FINRA's Dispute Resolution Service in an arbitration forum rather than before a regulatory panel is another debate for another day. [read post]
12 Dec 2022, 3:12 am
Newborn Baby, Paternity Leave, Away Account, Loss of Job, and the FINRA Fine and Suspension (BrokeAndBroker.com Blog)https://www.brokeandbroker.com/6795/paternity-leave-away-account/In a recent FINRA regulatory settlement, I'm willing to give the regulator and the Respondent's former broker-dealer employer credit for being in the right. [read post]
17 Apr 2023, 4:43 am
FINRA Bars former Securities America Rep For Conversion (BrokeAndBroker.com Blog) https://www.brokeandbroker.com/6997/finra-raineri-conversion-awc/ In a recent FINRA regulatory settlement, it is alleged that the pro se Respondent engaged in conversion when he made payments of a customer's personal expenses "without consent. [read post]
18 May 2011, 9:38 am
Proceed with caution …and review the steps we suggest taking. [read post]
19 Jun 2022, 2:13 am
Turning to the merits of the ESA claim, the panel held that EPA’s registration review decision under FIFRA was an “action” that triggered the ESA’s consultation requirement; EPA actively exercised its regulatory power, completing an assessment of glyphosate’s risks under FIFRA and delineating what constituted acceptable glyphosate use under the statute’s safety standard. [read post]
19 Jul 2022, 9:05 pm
In turn, the major questions doctrine could leave the nation powerless to take any effective action in response to new problems that will inevitably arise in the future.The post Supreme Court Crushes the United States’ Ability to Mitigate Climate Change first appeared on The Regulatory Review. [read post]
14 May 2020, 5:31 am
Financial Industry Regulatory Authority, Inc. [read post]
14 May 2020, 5:31 am
Financial Industry Regulatory Authority, Inc. [read post]
16 Jul 2023, 9:05 pm
Although the Supreme Court’s decision will more deeply entrench inequality in educational opportunity, advocates fighting for racial justice are already reimagining what it means to pursue education equity in a multiracial democracy.The post What’s Left, And What’s Next, for Racial Diversity in College Admissions first appeared on The Regulatory Review. [read post]
