Search for: "The Regulatory Review"
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31 Jul 2023, 9:05 pm
SEC (2023), the court held that statutory agency review procedures do not preclude a collateral challenge to the constitutionality of SEC enforcement proceedings. [read post]
23 Dec 2023, 1:29 pm
Yet, we feel confident that with better digital product testing—along with regulatory oversight—can go a long way in mitigating these dangers. [read post]
7 Jul 2024, 7:49 am
Court of Appeals reviews their petition for review of the FCC’s February Report and Order that reinstated the report. [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 Jan 2024, 6:50 am
Laws like the National Environmental Policy Act, with a body of judicial precedents requiring ever-longer environmental reviews and other sources of regulatory uncertainty, might come to be seen in a very different light when it impedes the domestic mining of critical minerals and the construction of semicon- ductor fabrications. [read post]
7 Mar 2013, 9:03 pm
Hopefully, when faced with future manipulations of the PDP report, consumers and others will go back, review the content of the report and remember what was actually said – it was, in fact, very good news. [read post]
5 Apr 2024, 1:22 pm
The services include ratings and reviews that are crowd-sourced from users while also allowing a platform for dispensaries to buy advertising space for their businesses. [read post]
25 Apr 2019, 7:11 am
With FINRA’s issuance of Regulatory Notice 19-10, member firms should take the opportunity to review their policies and procedures regarding communications with customers at the time of registered representative departures to ensure that they are compliant with FINRA’s expectations. [read post]
3 Aug 2015, 6:17 am
PNC then reviewed the complaint and Delguercio resigned at that time. [read post]
17 Feb 2010, 7:13 pm
FINRA says that the brokerage firm relied on an automated surveillance system to monitor client accounts and review securities transactions for unsuitability but that the system was not set up to monitor RCN placement in customer accounts or RCN transactions. [read post]
29 Aug 2024, 3:25 am
That’s particularly important for multinational corporations—subject to multiple regulatory jurisdictions—to keep in mind. [read post]
9 Aug 2007, 5:43 am
The introduction of regulatory requirements and privacy laws, however, complicate the sensitive balancing act between productivity and control. [read post]
5 Sep 2024, 1:29 pm
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
27 Oct 2011, 9:24 am
Exchange Act Rule 17a-1(a) requires a national securities association to keep and preserve at least one copy of all correspondence, records, and other documents made or received by it in the course of its business as such and in the conduct of its self-regulatory activity. [read post]
23 Jun 2017, 12:02 pm
The proposals appear to have support from Commissioner O’Rielly, who is spearheading the FCC’s review of this service. [read post]
3 Mar 2010, 2:26 am
The Bermuda Monetary Authority (the BMA) published a consultation paper on 5 February 2010 entitled "Consultation Paper on The Bermuda Monetary Authority's Proposed Insurance Groups Regulatory Framework" (the Paper). [read post]
5 Jan 2011, 5:04 am
" Whether the FCC's net neutrality rules can withstand judicial review and Congressional challenge remains to be seen. [read post]
3 Mar 2010, 2:26 am
The Bermuda Monetary Authority (the BMA) published a consultation paper on 5 February 2010 entitled "Consultation Paper on The Bermuda Monetary Authority's Proposed Insurance Groups Regulatory Framework" (the Paper). [read post]
6 Sep 2018, 12:09 pm
The Section 10 proceeding is the initial proceedings where a seven-year plan for eligible improvements, including cost estimates, is submitted and reviewed by the Indiana Utility Regulatory Commission (“IURC”). [read post]
28 Apr 2015, 6:35 am
Department of Agriculture’s (USDA) primary meat and poultry food safety regulatory program. [read post]
