Search for: "The Regulatory Review Staff"
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5 Jun 2023, 8:43 am
*This post is part of a symposium on Modernizing Regulatory Review. [read post]
9 Dec 2014, 6:18 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm LaSalle St. [read post]
25 Feb 2013, 1:43 pm
The Staff expects to review financial and other records to identify undisclosed compensation arrangements and the conflicts of interest that they present. [read post]
17 Sep 2024, 9:05 pm
” It was the nicest “hi” I ever exchanged—and one I will cherish forever.The post The Joyful Economist first appeared on The Regulatory Review. [read post]
6 Dec 2021, 9:05 pm
Future travelers may want to keep their vaccine cards handy.The post Vaccinating the Skies first appeared on The Regulatory Review. [read post]
30 Mar 2025, 4:25 pm
Second, the environmental review requirement forces agencies to gather information and do analyses they hadn’t done before NEPA – and that includes hiring staff who are trained to gather that information or do that analysis. [read post]
30 Mar 2012, 3:04 pm
The FSA review also looked at related topics including (i) gift-giving practices and controls, (ii) staff recruitment and vetting, (iii) training, and (iv) incident reporting. [read post]
31 Oct 2018, 6:00 am
After a while, most patients internalize the logic of this panopticon and restrict their movement without staff needing to admonish them. [read post]
14 Mar 2022, 7:12 am
Second, she noted that Rule 14a-8 is an item on Chair Gensler’s regulatory agenda. [read post]
9 Mar 2022, 6:48 am
Take all appropriate steps to shore up their controls, including raising staff awareness that may, for example, include re-running staff ethical phishing campaigns. [read post]
12 Jan 2025, 9:05 pm
In a second Trump Administration, questions of mifepristone regulation will remain on the public agenda, making this history an important background for evaluating claims made in legal and policy contexts.The post FDA’s “Belt and Suspenders” Approach to Mifepristone Approval first appeared on The Regulatory Review. [read post]
7 Feb 2021, 9:05 pm
In addition, Sunstein and Vermeule emphasize that appellate court review is an essential part of administrative law. [read post]
29 Mar 2018, 9:03 pm
If you have any questions regarding this request, please contact Christian Lovell of my staff. [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]
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]
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]
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]
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]
5 Jan 2018, 6:22 am
Environmental Protection Agency (EPA) must make a regulatory decision. [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]
