Search for: "The Regulatory Review"
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12 Mar 2013, 7:15 pm
The Committee will also review proposals that would harmonize the frequency of examinations of broker-dealers and investment advisers. [read post]
4 Sep 2013, 1:08 pm
This proposed rulemaking requests comment on regulatory revisions in the following six key issue areas: (1) Administrator's determination that new or revised WQS are necessary, (2) designated uses, (3) triennial reviews, (4) antidegradation, (5) WQS variances, and (6) compliance schedule authorizing provisions. [read post]
10 Aug 2014, 9:30 pm
Environmental Protection Agency (EPA) has created a webpage called (somewhat obliquely) a “Regulatory Development and Retrospective Review Tracker” – or “Reg DaRRT” for short. [read post]
8 Jul 2020, 9:05 pm
The agreement today also includes a number of provisions favoring access to information, notice-and-comment rulemaking, reason-giving, and review mechanisms in national regulation. [read post]
3 Nov 2016, 7:20 pm
Regulatory Guidance Letter (RGL) 16-01 "Jurisdictional Determinations" has very little new guidance in reality. [read post]
25 Feb 2020, 4:17 pm
In addition to her public and regulatory policy involvement, Ms. [read post]
6 Apr 2010, 8:53 am
Articles Ben Baseley-Walker, Responsible launching: space security, technology, and emerging space states, The Space Review Jeff Foust, Prospects and concerns for export control reform, The Space Review Pavel Podvig, Assessing START follow-on, The Bulletin of Atomic Scientists P.J. [read post]
28 Nov 2011, 5:05 pm
Efthimios Parasidis (Saint Louis University - School of Law) has posted Patients Over Politics: Addressing Legislative Failure in the Regulation of Medical Products (Wisconsin Law Review, Vol. 2011, No. 5) on SSRN. [read post]
20 Oct 2020, 11:40 am
The “intended use” of a product (established via labeling and other promotional activities) is determinative of whether a product is subject to FDA regulation Labeling is broad and generally includes anything associated with a product’s label (websites, social media, consumer reviews, etc.) [read post]
28 Apr 2024, 9:05 pm
For many business economists and legal academics, the purpose of any business organization is simply stated: to maximize profits. [read post]
26 Jul 2017, 12:07 pm
” The report describes Republican plans to use the Congressional Review Act to override the rule (which are moving forward with the House’s passage yesterday of H.J. [read post]
27 Feb 2016, 12:31 pm
The investment attorneys of Gana LLP are investigating regulatory complaints filed by The Financial Industry Regulatory Authority’s (FINRA) against brokerage firm Finance 500, Inc. [read post]
27 Jan 2023, 12:59 pm
On January 23, 2023, Paulson Investment Company, LLC (Paulson) agreed to a censure, a fine of $150,000 and to make restitution to 60 customers in a regulatory settlement with FINRA, the Financial Industry Regulatory Authority. [read post]
20 Mar 2016, 7:25 am
The investment lawyers of Gana LLP are investigating a regulatory action brought by the Financial Industry Regulatory Authority (FINRA) against Ameriprise Financial Services, Inc. [read post]
20 Aug 2009, 8:55 am
In the face of regulatory inquiries and pronouncements by the Financial Industry Regulatory Authority (FINRA) on the inherent risks they pose to retail investors, more brokerages are curtailing their activity in leveraged and inverse exchange traded funds (ETFs). [read post]
10 Dec 2023, 7:21 pm
Reducing the volume of documents requiring in-depth review through efficient content assessment. [read post]
13 Apr 2023, 5:17 am
Matson was barred from the Securities Industry by FINRA, the Financial Industry Regulatory Authority, for refusing to cooperate with their regulatory investigation. [read post]
29 Jun 2011, 9:56 am
The two organizations had repeated clashes while CSIC had the regulatory function. [read post]
27 Dec 2019, 11:13 am
In November 2019 FINRA brought a regulatory action against Lockett that he settled consenting to findings that he participated in a private securities transaction without providing prior written notice to his member firm. [read post]
13 Apr 2010, 1:36 am
Regulatory Takings at 77. [read post]
