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30 Mar 2012, 1:25 pm
The scope of those affected by the guidance document is far reaching and it is clear that sufficient review of the impacts has not been considered by the agencies. [read post]
16 Dec 2020, 2:01 pm
As a result, Chairman Waters’ letter is likely to receive close attention from the President-elect’s agency review teams and influence the priorities of the individuals appointed to lead the financial regulatory agencies. [read post]
10 Oct 2022, 1:07 pm
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial advisor Kirk Badii (Badii) has at least eight disclosable events. [read post]
17 Oct 2023, 10:23 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]
1 Nov 2023, 12:38 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]
13 Apr 2012, 7:58 am
The Little Hoover Commission is required to review the plan and must submit its recommendation within 30 days. [read post]
18 Oct 2017, 11:55 am
Given the rapidly evolving regulatory regime, multinationals that plan to manufacture, distribute, or use commercial encryption products in China should closely follow the developments. [read post]
29 Jul 2022, 6:37 am
And all apps are subject to human review—just like in the App Store. [read post]
30 Sep 2024, 12:49 pm
You can review the full agenda here. [read post]
22 Mar 2024, 9:07 am
You can use the tool to verify if a broker or brokerage firm is registered with FINRA, review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
30 Oct 2024, 8:37 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]
3 Apr 2021, 8:57 pm
For more details, review the Public Notice and our article here. [read post]
1 Apr 2021, 12:15 pm
In the RFI’s questions regarding fair lending, the agencies specifically ask about the need for more regulatory clarity as to providing the principal reasons for adverse action in adverse action notices. [read post]
19 Jan 2012, 11:34 am
Consistent with the Executive Order, the extended rulemaking process also will ensure that the public receives a full opportunity to review the agency's updated economic analysis and revisions of the rule. [read post]
11 Jan 2023, 1:54 pm
Defendant SHALL provide timely updates regarding any material developments in the regulatory proceedings that would affect the timing of closing the transaction. [read post]
4 Mar 2010, 3:17 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]
3 May 2010, 3:51 am
In addition, the report – put forth by CMS’ chief actuary – warned that those costs also have the potential to increase further because Medicare cuts envisioned in the law may be unsustainable or unrealistic.This report raises questions about the ability of the Independent Payment Advisory Board – also created by PL 111-148 – to achieve projected savings, noting that limiting Medicare cost growth to a level below medical price inflation would be extremely… [read post]
6 Oct 2022, 9:56 am
Barclays Sanctioned for Best Execution Violations and Supervisory Failures According to the Financial Industry Regulatory Authority (FINRA) this week, the regulator has fined Barclays Capital Inc. [read post]
3 May 2010, 3:51 am
In addition, the report – put forth by CMS’ chief actuary – warned that those costs also have the potential to increase further because Medicare cuts envisioned in the law may be unsustainable or unrealistic.This report raises questions about the ability of the Independent Payment Advisory Board – also created by PL 111-148 – to achieve projected savings, noting that limiting Medicare cost growth to a level below medical price inflation would be extremely… [read post]
4 Apr 2023, 7:59 am
(“Activision”) demonstrates DOJ’s resolve to move forward on its recently announced policy of weaponizing federal antitrust law against anticompetitive compensation and other labor market practices in response to President Biden’s Executive Order on Promoting Competition in the American Economy, With DOJ and other agencies moving aggressively both to tighten regulatory restraints on longstanding business practices that limit wages and worker competition in the… [read post]
