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21 May 2024, 4:00 am
The measure was one of three considered and reported by the committee and demonstrates how the month of May has been a busy one for securities legislation that also has seen Congress send a CRA resolution on SEC staff guidance to the White House and lay the groundwork for the full House to mull blockchain legislation in the coming week that, if enacted would divvy crypto regulatory authorities between the SEC and the CFTC. [read post]
7 Sep 2010, 4:55 am
The position is responsible for conducting reviews and investigations related to complaints received by the Office of the Ombudsman, as well as work with other FINRA staff to ensure appropriate resolution to any issue or question that arise. [read post]
8 Sep 2011, 2:27 pm
Staff: 5 Years May Be Enough for Bone Drugs, The New York Times, September 9, 2011 Read the FDA's Background Document for the Advisory Committee, FDA.gov FDA to Review Safety of Osteoporosis Drugs as Lawsuit Begins in Bellwether Trial, ABA Journal, September 6, 2011 Judge narrows benchmark Fosamax case vs. [read post]
2 Oct 2009, 10:15 am
The SEC was planning take a final vote on its proposed proxy access rule in November, but the commission wanted to give its staff more time to review more than 500 comments that have been submitted by companies, investors, and academics, according to Bloomberg News. [read post]
11 Mar 2011, 10:23 am
Here’s the anticipated schedule: March 28, 2011, Publication of notice in Virginia Register and beginning of 30-day public comment period April 27, 2011, Close of 30-day public comment period (staff will summarize comments and modify regulations accordingly) May 17, 2011, Target mailing to Board of Conservation and Recreation May 24, 2011, Board of Conservation and Recreation adopts final regulations June 10, 2011 thru August 5, 2011 (about 60-days), Review by the… [read post]
2 Feb 2018, 7:11 am
” In an effort to quell some of the concerns from the clearing firm community regarding the opportunity to provide comment and input, Giancarlo indicated that he has requested CFTC staff to add an additional element to its Review and Compliance Checklist for virtual currency product self-certifications which would require DCMs and Swaps Execution Facilities (SEFs) to disclose to CFTC staff what steps they have taken in their capacity as self-regulatory… [read post]
24 Sep 2018, 11:06 am
In other words, disclosure is warranted if an agency contacts the firm’s staff concerning the incident, and the staff member knows, or should know, of the requirement to report the incident on Form U5.FINRA is also concerned about whether the terminated individual has been the subject of formal disputes. [read post]
10 Feb 2016, 7:42 am
Five years ago, we noted the changes that the Act made in the broadcast regulatory world – changes that are still being debated 20 years later. [read post]
8 Oct 2019, 6:00 am
The role of the board of directors & management The board has a role in strategic planning, risk oversight and the review and approval of an issuer’s annual and interim regulatory findings. [read post]
7 Feb 2014, 7:33 am
Crowd-funding: An Infant Industry Growing Fast - Staff Working Paper of the IOSCO Research Department. [read post]
16 Mar 2021, 9:07 pm
Ultimately, Chopra and Levine call on the FTC to shed its “self-inflicted paralysis” by drawing on a broader set of tools to protect the public.The post Reviving the Power of the FTC first appeared on The Regulatory Review. [read post]
27 Apr 2021, 9:08 pm
” Only then, they say, will the country begin to reverse the damage done to American democracy in recent times.The post The Big Election Bill Sitting on Capitol Hill first appeared on The Regulatory Review. [read post]
18 Feb 2024, 9:05 pm
Barring more significant changes, however, these modifications to agencies’ storage and processing standards can make FOIA more useful to immigrants.The post How the Freedom of Information Act Fails Immigrants first appeared on The Regulatory Review. [read post]
28 Sep 2022, 9:05 pm
”The post Targeting Families to Regulate Migration first appeared on The Regulatory Review. [read post]
28 May 2025, 9:05 pm
These efforts are important steps toward changing legal and societal narratives about disabled parents.The post Disability Discrimination in State Child Welfare Systems first appeared on The Regulatory Review. [read post]
14 Mar 2019, 5:00 am
Project KISS is the agency-wide review of CFTC rules, regulations, and practices to make them simpler, less burdensome, and less costly. [read post]
25 Feb 2020, 4:02 pm
In addition to her public and regulatory policy involvement, Ms. [read post]
5 May 2024, 9:05 pm
first appeared on The Regulatory Review. [read post]
27 Mar 2022, 9:05 pm
I hope the agency seizes the opportunity.The post How Ending Forced Arbitration Advances Economic Justice first appeared on The Regulatory Review. [read post]
23 May 2021, 9:05 pm
Some agencies use staff, while others use contractors or even artificial intelligence tools. [read post]
