Search for: "The Regulatory Review Staff"
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3 Aug 2017, 8:08 am
Grim led the Division’s policy-development; legal-interpretation; data-analysis and disclosure-review functions. [read post]
7 Nov 2011, 12:00 am
While critics may complain about the EU’s supposedly huge bureaucracy, the EU’s bureaucracy is actually tiny (with around 25,000 staff) and its budget modest. [read post]
30 Jun 2013, 10:11 pm
This post draws from the author’s forthcoming article in the Michigan Law Review, “Private Control Over Access to Public Law: The Puzzling Federal Regulatory Use of Private Standards. [read post]
16 May 2011, 8:34 am
Ketchum's testimony related to the changes made at FINRA as a result of the Special Review Committee, established in 2009 by the Board of Governors, which conducted a review of FINRA's examination program as it related to the detection of fraud and Ponzi schemes. [read post]
26 Aug 2014, 7:12 am
Notably, the Claims Review Staff initially recommended that the whistleblower’s claim be denied, as the information did not appear to be “voluntarily” provided under the definition of Rule 21F-4(a)(ii) because the information was provided after an inquiry by a self-regulatory organization (“SRO”) into the matter. [read post]
20 Mar 2017, 12:38 pm
The Protocols mark the latest step in a systemic review that began in 2013 to bring greater transparency and simplicity in vote tabulation specifically for shares held through intermediaries. [read post]
10 May 2018, 6:00 am
Look at your staff’s expertise. [read post]
29 Aug 2021, 5:56 am
The violations were discovered during the FCC staff’s review of the stations’ public files for license renewal. [read post]
15 May 2013, 12:55 pm
On Petition for Review of Orders of the United States Nuclear Regulatory Commission (NRC). [read post]
13 Jul 2017, 8:18 am
On this point, he cautioned that the agency should not take lightly the fact that regulatory changes often impose significant implementation costs on companies and shareholders.Periodic review of rules. [read post]
2 Nov 2020, 9:09 pm
Time will tell.The post The Rise of the Political Text Message first appeared on The Regulatory Review. [read post]
12 Nov 2006, 11:19 am
Chairman Cox reported that the resulting recommendations are being reviewed internally at the NYSE and NASD. [read post]
19 Nov 2013, 7:00 am
In sum, the Staff granted the request relief, not surprisingly, given the registration protections contained in the parties’ letter. [read post]
5 Oct 2008, 9:34 pm
The company seeking approval submits its studies for the drug or device to the FDA and the FDA reviews the material. [read post]
27 Oct 2011, 2:23 pm
In response to a Whistleblower complaint, FINRA initiated an internal investigation, led by its Internal Audit staff, and communicated its findings to the SEC. [read post]
11 Feb 2022, 9:03 pm
The post Reforming Health Care for Patients in Prison first appeared on The Regulatory Review. [read post]
15 Jan 2021, 9:05 pm
The post Impacts of Targeted Regulation of Abortion Providers first appeared on The Regulatory Review. [read post]
12 Dec 2019, 6:00 am
New databases The following tribunals have been added to CanLII’s current coverage (in no specific order and with their respective neutral citation identifier in parentheses): Edmonton Subdivision and Development Appeal Board (abesdab) Building Code Commission (onbcc) Office of the Registrar of Lobbyists (bcorl) Yukon Residential Tenancies Office (ytrto) Horse Racing Alberta Appeal Tribunal (abhraat) Northwest Territories Assessment Appeal Tribunal (ntaat) Corporation des maîtres… [read post]
17 Jan 2017, 4:19 pm
The SEC is the primary regulatory body charged with the enforcement of the U.S. securities laws. [read post]
2 Aug 2022, 9:07 pm
In one study, experts found that less than half of LGBTQ+ youth shared their sexual orientation with school staff. [read post]
