Search for: "The Regulatory Review"
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10 Jan 2020, 12:13 pm
FINRA BARS BROKERS WHO MISTREATED ELDERLY CLIENTSThe Financial Industry Regulatory Authority (FINRA) barred two brokers who allegedly committed infractions by treating elderly clients poorly and failure to cooperate with FINRA’s investigations into their actions. [read post]
3 Feb 2017, 6:31 am
In September 2016 UBS terminated Fagenson after a review found that while on heightened supervision Fagenson violated firm policy by exercising time and price discretion, texting with clients and engaging in short term trading of preferred shares. [read post]
12 Jan 2018, 11:46 am
FINRA’s 2018 Regulatory and Examination Priorities Letter, which was released earlier this week, highlights ICOs and cryptocurrencies among several sales practice risks that FINRA will focus on in the coming year: Digital assets (such as cryptocurrenices) and initial coin offerings (ICOs) have received significant media, public and regulatory attention in the past year. [read post]
12 Jan 2018, 11:46 am
FINRA’s 2018 Regulatory and Examination Priorities Letter, which was released earlier this week, highlights ICOs and cryptocurrencies among several sales practice risks that FINRA will focus on in the coming year: Digital assets (such as cryptocurrenices) and initial coin offerings (ICOs) have received significant media, public and regulatory attention in the past year. [read post]
15 Nov 2023, 8:55 am
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]
17 Mar 2011, 3:01 pm
Conduit and Small Hydro: Allows for conduit projects on federal lands and directs FERC and other federal agencies to enter into a Memorandum of Understanding ("MOU") to better coordinate reviews of these projects. [read post]
10 Feb 2014, 6:01 am
Dahn has a long history of customer disputes and FINRA regulatory actions. [read post]
26 Jun 2019, 10:20 am
Exacerbating these failures, according to Carey, was the dubious nature of FAA regulatory review. [read post]
30 Dec 2015, 7:06 pm
The results of surveys we reviewed suggest that there have been moderate to minimal initial reductions in the availability of credit among those responding to the various surveys and regulatory data to date have not confirmed a negative impact on mortgage lending. [read post]
10 May 2010, 1:16 pm
The following is a summary review of articles from all over the nation concerning environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
26 Jan 2012, 6:10 am
The all-day program will provide a comprehensive overview of New York’s State Environmental Quality Review Act (SEQRA) including specific discussion on regulatory requirements and compliance, the integration of SEQRA with the project review process, cumulative impacts and segmentation and how to use SEQRA to obtain a better project without bankrupting the applicant. [read post]
16 Dec 2011, 7:06 am
TweetThe Regulatory Flexibility Act of 1980 requires that federal agencies review those rules that “have a significant economic impact upon a substantial number of small entities … to determine whether [they] should be continued without change, or should be amended or rescinded … [in order] to minimize any significant economic impact … [on] such small entities. [read post]
29 Mar 2012, 9:12 am
The all-day program will provide a comprehensive overview of New York’s State Environmental Quality Review Act (SEQRA) including specific discussion on regulatory requirements and compliance, analysis methodologies and techniques of SEQRA, recent trends and case law, incorporating renewable resources into the planning process and environmental review of public/private partnerships. [read post]
18 May 2010, 7:21 am
.: (1) Deferential judicial review of the national legislature's implied powers allows the national legislature win cheap and short-term political applause with unnecessary and oppressive national regulatory regimes -- say, federal civil commitment for sexually dangerous ex-convicts; (2) The Court’s efforts to enforce centralized theories of rights to temper such laws inevitably founder on the cultural divisions within a large, heterogeneous, and politically… [read post]
29 Jun 2012, 7:13 am
Rent control could be a regulatory taking – an economic deprivation. [read post]
19 Sep 2024, 12:32 pm
About HaystackID® HaystackID solves complex data challenges related to legal, compliance, regulatory, and cyber events. [read post]
1 Feb 2010, 2:22 am
According to the FDA’s federal register, the “FDA commissioned the Institute of Medicine (IOM) to conduct an independent review of the program and, if necessary, to recommend administrative, regulatory, and/or statutory changes. [read post]
13 May 2022, 9:47 am
Malecki, Esq. will be presenting at a year-in-review webinar hosted by the defense firm Bressler, Amery & Ross, entitled A Recap of 2021 Virtual Proceedings 2nd Annual Hearings in Review. [read post]
19 Jul 2017, 2:44 am
SIFMA Executive Vice President Randy Snook said that while SIFMA supports many of the post-crisis regulatory reform efforts in the area of capital and liquidity, now is the time to review how these rules work together. [read post]
29 Jan 2021, 9:30 am
” The long-awaited government-commissioned review by Professor Graeme Samuel AC makes 38 recommendations for reform. [read post]
