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27 Oct 2011, 12:51 pm
(The then-director of that office resigned from FINRA last year during the SRO's internal review of the matter). [read post]
20 May 2022, 6:21 am
For example, data compiled by IPO Vital Signs, a Wolters Kluwer Legal & Regulatory U.S. database that includes all SEC registered IPOs (including REITs and those non-U.S. [read post]
23 Jan 2023, 7:03 am
The Ministerial Statement provided that: The Government will launch a Call for Evidence to look at the legislative framework of the regime, and the FCA and PRA will review the regulatory framework. [read post]
31 Mar 2016, 7:18 am
For more on these routine regulatory dates, see our Broadcasters Calendar, here. [read post]
3 May 2022, 9:03 pm
In response, the Federal Energy Regulatory Commission (FERC) announced at its February meeting a new interim policy for addressing environmental and public-interest issues that arise from its review and approval of new interstate natural gas pipelines. [read post]
25 Aug 2024, 9:06 pm
We are publishing this series of tributes throughout the coming month in The Regulatory Review. [read post]
26 Sep 2021, 7:48 am
Several other TV stations also received admonitions (admonitions can be considered in assessing penalties for future violations) for violations discovered by the FCC’s staff in their review of stations’ public files. [read post]
12 Sep 2022, 9:05 pm
The post Toxic Metals in Baby Food Remain Unregulated first appeared on The Regulatory Review. [read post]
27 Jun 2012, 9:30 pm
To nail down its criticism that the current system of internal review by the Office of Information and Regulatory Affairs (OIRA) is inadequate, Romney’s plan denounces as “political theater” OIRA Administrator Cass Sunstein’s proclamation that his regulatory review resulted in $2 billion in annual savings because it amounted to savings of only 0.1 percent in regulatory costs. [read post]
1 May 2014, 11:17 am
Furthermore, LPL failed to train its staff to assess state-mandated suitability standards as part of the company’s review of the suitability of alternative investments. [read post]
28 Mar 2008, 4:06 am
The current supervisory training and competency framework for FSA staff will be upgraded. [read post]
2 Sep 2011, 11:43 am
Posted by Craig HoffmanLast week we reviewed recent tracking litigation. [read post]
7 Nov 2021, 9:05 pm
When they do, the ACUS recommendation can help.The post Improving the Management of Public Comments in a Digital Age first appeared on The Regulatory Review. [read post]
16 Sep 2022, 6:30 am
Then in a September 2021 no-action letter to the Financial Industry Regulatory Authority (FINRA), the staff expressed the view that Rule 15c2-11, including the 2020 amendments, applies to other types of OTC securities, including fixed income securities. [read post]
27 Jun 2021, 9:05 pm
The post Advancing LGBTQ+ Rights through Attorney Regulation first appeared on The Regulatory Review. [read post]
12 Dec 2022, 9:05 pm
” For EPA, fulfilling these environmental justice ideals through effective environmental regulation will be central to delivering on this commitment.The post EPA Creates New Environmental Justice Office first appeared on The Regulatory Review. [read post]
11 Dec 2017, 9:01 pm
To discuss an alternative approach, contact the FDA staff responsible for this guidance using the contact information on the title page. [read post]
14 Jun 2019, 5:59 am
Instead, issuers can redact it, and the staff will review the redaction when the filing is received, Raminpour explained. [read post]
26 Mar 2023, 9:05 pm
By failing to frame the harm correctly, the regulatory framework continues to fall short of its enforcement goals. [read post]
7 Apr 2021, 9:08 pm
While hospitals work on complying with the Joint Commission’s standards, health advocates seeking to address the effects of structural racism and implicit bias on maternal health outcomes will have to secure further voluntary measures and encourage more legislation.The post New Hospital Standards Fight Maternal Mortality first appeared on The Regulatory Review. [read post]
