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10 Sep 2023, 9:01 am
Paying regulatory fees late can bring substantial penalties (25% penalty plus interest), so commercial broadcasters should immediately review these documents and prepare their fees so that they can be submitted before the September 20 deadline. [read post]
25 Jun 2015, 10:15 am
See: "FDA Drug Safety Communication: FDA warns that SGLT2 inhibitors for diabetes may result in a serious condition of too much acid in the blood".About a month later, Health Canada took similar action when that drug regulatory agency sent an email alert about its "Information Update - Forxiga, Invokana: Health Canada begins safety review of diabetes drugs known as SGLT2 inhibitors and risk of ketoacidosis".From that June 22, 2015 Health Canada MedEffect… [read post]
27 Jan 2015, 5:58 am
Yet, according to FINRA, the firm did not record variable annuity liquidations on its trade blotter for review and no supervisory review of the variable-to-fixed annuity transaction’s suitability was conducted. [read post]
20 Jun 2013, 10:56 am
FINRA, having enacted new communications rules that specifically reference electronic communications, having issued two Regulatory Notices (linked here and here) providing guidance to the securities industry on social media, and having made social media and electronic communications exam priorities in two of the last three years, is now taking the next logical step: conducting a sweep of broker-dealers to determine their compliance with the communications rules. [read post]
12 Dec 2014, 7:03 am
The Financial Industry Regulatory Authority (FINRA), in an acceptance, waiver, and consent action (AWC), sanctioned brokerage firm Global Brokerage Services, Inc. [read post]
20 Dec 2018, 12:00 pm
The FDIC has issued an Advance Notice of Proposed Rulemaking (ANPR) seeking comment on its regulatory approach to brokered deposits and interest rate restrictions. [read post]
4 Jun 2009, 7:13 am
We receive many inquiries from Atlanta consumers regarding the safety of products apporved by the federal regulatory agencies. [read post]
26 Jun 2014, 5:30 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Carolina Financial Securities, LLC (Carolina Financial) concerning allegations that the firm failed to conduct proper due diligence on private placements sold by the firm. [read post]
22 Jan 2024, 12:16 pm
Wells Fargo’s brokerage subsidiary has been fined $425,000 by the Financial Industry Regulatory Authority (Finra) for allegedly misreporting trade prices on millions of client transactions. [read post]
28 Oct 2021, 3:26 pm
This policy is at odds with HSR, which is designed to facilitate merger reviews, not to serve as a regulatory-approval mechanism. [read post]
3 Nov 2019, 4:14 pm
I review a large number of Phase I environmental site assessments, and year in, year out, the largest number of questions I field are about Historical Recognized Environmental Conditions. [read post]
23 Mar 2020, 7:28 am
The moderator said it would give impermanent “regulatory relief to member firms from some requirements. [read post]
29 Nov 2010, 4:01 pm
As EPA administrator Lisa Jackson testified recently to a Congressional committee: TSCA does not have a mandatory program where EPA must conduct a review to determine the safety of existing chemicals. [read post]
31 Jul 2014, 5:59 am
As is often the case, the SEC comes to mind, because it is the one agency that has some regulatory authority over large companies across all industries. [read post]
3 Jul 2009, 7:28 am
If the promissory note is unregistered, then it will not be subject to review by regulators before it is sold. [read post]
28 Jan 2009, 2:35 am
In the future, Lord Adair said these near banks or shadow banks must be included in regulatory regimes.A detailed explanation of these proposals will be available in March when the FSA's review of banking regulation and supervision is published. [read post]
28 Feb 2012, 4:59 pm
As a result, the judge (or judges) who review the future legal challenges may be more likely to give deference to the agency. [read post]
4 Aug 2015, 3:19 pm
We are currently reviewing and synthesizing this guidance, so stay tuned to the blog for a further update soon. [read post]
23 Jan 2022, 7:50 am
Read his post for updates on the likely areas of legislative and regulatory action. [read post]
5 Sep 2019, 5:31 pm
Systems, operational policies, procedures and controls should be reviewed, audited and tested periodically and after significant changes. [read post]
