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28 Apr 2015, 6:24 am
Department of Agriculture’s (USDA) primary meat and poultry food safety regulatory program. [read post]
1 Oct 2019, 6:09 am
The final rule also implements a requirement under the Dodd-Frank Act that appraisals are subject to appropriate review for compliance with the Uniform Standards of Professional Appraisal Practice (USPAP). [read post]
21 Jul 2015, 6:58 am
NYLife conducted its own review and believed that Chu’s activities exceeded the scope of his approved activities with the brokerage firm. [read post]
17 Apr 2022, 5:57 am
Here are some of the regulatory developments of significance to broadcasters from the last week, with links to where you can go to find more information as to how these actions may affect your operations. [read post]
2 Jun 2015, 4:51 pm
On May 14, 2015, the Department of Enforcement for the Financial Industry Regulatory Authority (“FINRA”) filed a complaint (the “Complaint”) against ARI Financial Services, Inc. [read post]
3 Feb 2016, 3:07 am
At the time the amendments to Regulation A were proposed, there was no coordinated review process by the states for Regulation A offerings. [read post]
24 Oct 2014, 3:26 pm
The Financial Industry Regulatory Authority (FINRA) sanctioned broker Financial America Securities, Inc. [read post]
24 Oct 2006, 7:32 am
The interest of regulatory agencies tends to gravitate toward employers which have unusual challenges. [read post]
16 Jan 2022, 8:32 am
Here are some of the regulatory developments of significance to broadcasters from the last week, with links to where you can go to find more information as to how these actions may affect your operations. [read post]
18 Mar 2015, 6:19 am
As we previously reported, The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm World Equity Group, Inc. [read post]
24 Oct 2018, 8:21 am
In May 2017 the Canadian Centre for Policy Alternatives reported the existence of approximately 16 dams located throughout northern British Colombia constructed without the proper regulatory approvals. [read post]
30 Jul 2020, 6:35 am
All licensees and registrants subject to AWA-related USDA inspections should review the “Standard Operating Procedures for Resuming Facility Inspections During the COVID-19 Pandemic,” issued on July 20, 2020. [read post]
1 Jul 2014, 6:59 am
The Financial Industry Regulatory Authority (FINRA) recently sanctioned brokerage firm Gilford Securities, Inc. [read post]
25 Jun 2014, 4:05 am
Coverage of the Court’s decision in Utility Air Regulatory Group v. [read post]
3 Oct 2022, 9:27 am
” The proposed legislation was introduced earlier this year and is currently still under committee review [read post]
20 Aug 2009, 11:50 am
For additional information on the revised regulation, please review prior blog postings on this topic. [read post]
17 Mar 2023, 6:30 am
Global Corporate Governance Trends for 2023 Posted by Richard Fields and Rusty O’Kelley, Russell Reynolds Associates, on Friday, March 10, 2023 Tags: Corporate governance, Diversity, ESG, EU, TCFD, UK ESG Battlegrounds: How the States Are Shaping the Regulatory Landscape in the U.S. [read post]
11 Nov 2021, 8:23 am
The report reviews actions taken by the CFPB to “respond[] to the evolving needs of homeowners and CFPB supervised entities,” including prioritized assessments of mortgage servicers and a targeted review of high-risk complaints related to COVID-19. forbearance. [read post]
22 Sep 2016, 5:07 am
At his eponymous blog, Lyle Denniston reports that the Court, “acting with no sign of dissent, moved in on Wednesday to interrupt at least temporarily a series of lower court rulings that would bar employee benefit companies from claiming that they operate ‘church plans’ and thus are exempt from federal regulatory laws — including the one providing birth control access. [read post]
31 Dec 2013, 5:47 am
FINRA previously stated that it understands and appreciates PIABA’s concerns and is providing additional guidance to arbitrators and reviewing its expungement rules. [read post]
