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25 Mar 2012, 9:30 pm
This post draws from the author’s recent article in the William and Mary Law Review, “Federalism Under Obama,” 53 Wm. [read post]
11 Mar 2011, 10:23 am
On March 9, 2011, the Virginia Stormwater Management Program Regulatory Advisory Panel met, for what should be its last time, to discuss Virginia’s Proposed Stormwater Management Regulations before the draft regulations are noticed for public comment. [read post]
13 Feb 2012, 11:02 am
On Thursday, (2/16), the House Financial Services Committee will markup H.R. 2308,"SEC Regulatory Accountability Act, a bill pushed b Rep. [read post]
16 Jun 2015, 6:46 am
” FINRA found that RBC failed to have supervisory systems reasonably designed to identify transactions for review when reverse convertibles were sold to customers. [read post]
8 Apr 2022, 9:03 pm
Applications sent by May 20 will be reviewed to pick up to 10 people. [read post]
21 Jul 2017, 12:02 pm
” The court affirmed that “planning agencies like SANDAG must ensure that CEQA analysis stays in step with evolving scientific knowledge and state regulatory schemes. [read post]
21 Jul 2017, 12:02 pm
” The court affirmed that “planning agencies like SANDAG must ensure that CEQA analysis stays in step with evolving scientific knowledge and state regulatory schemes. [read post]
2 Feb 2010, 6:54 am
The release states that firms may adopt supervisory procedures similar to those outlined for electronic correspondence (email) as set forth in Regulatory Notice 07-59. [read post]
17 Nov 2015, 8:05 am
FINRA’s BrokerCheck Could Help Investors More The Financial Industry Regulatory Authority (FINRA), the watchdog for the securities industry, operates a Yelp or Angie’s List-style database called BrokerCheck. [read post]
16 Aug 2022, 1:11 pm
With that background in mind — stakeholders can now review the exact text which Cal/OSHA will be voting upon to potentially extend the COVID-19 regulation. [read post]
9 Mar 2012, 12:51 pm
For more about the merger register see: Monthly Report of Completed Merger Reviews ___________________ For more information about our regulatory law services contact us: contact [read post]
24 Jul 2024, 3:29 am
What approach will the HKMA take when reviewing FRS licence applications? [read post]
5 Nov 2014, 8:13 am
Vendor contract review—what does that mean to you? [read post]
30 Apr 2012, 11:19 am
Book review. [read post]
12 Sep 2021, 7:32 am
Licensees that want to seek a waiver, deferral, or reduction of their regulatory fees based on financial hardship from the pandemic should review yet another public notice setting out the procedures for such requests. [read post]
11 Feb 2016, 2:28 pm
The Attorneys at Malecki Law are experienced with and regularly represent clients who have become embroiled in regulatory investigations. [read post]
6 Jan 2020, 6:22 am
(Great American) was has been subject to at least eight customer complaints and one regulatory action during the course of his career. [read post]
7 Jan 2015, 6:41 am
FINRA stated that at a minimum adequate written supervisory procedures should describe: (a) specific identification of the individual responsible for supervision; (b) the supervisory steps and reviews to be taken: (c) the frequency of the reviews: and (d) how the reviews should be documented. [read post]
20 May 2018, 9:30 pm
In any case, it is clear that high-quality marketcraft in each of these regulatory realms will be increasingly critical to prosperity in the digital era. [read post]
30 Dec 2011, 2:25 am
In short, this book looks very instructive and this reviewer looks forward to reading it when the time and the opportunity arise. [read post]
