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4 Jun 2009, 6:38 am
Thus the call for a government review of a digital transition strategy is both wise and opportune. [read post]
3 Aug 2009, 8:12 am
Morgan Stanley Smith Barney says its sales of leveraged and inverse ETFs is "under review. [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]
5 Jan 2015, 10:57 am
The Centers for Medicare & Medicaid Services (CMS) released proposed regulations to clarify and build on current regulatory requirements for Accountable Care Organizations (ACOs) that participate in the Medicare Shared Savings Program (MSSP). [read post]
11 Apr 2008, 2:48 pm
Did a panel of the US Court of Appeals for the District of Columbia Circuit bid adieu to the half century-old Mobile Sierra doctrine on contract stability when it otherwise affirmed the Federal Energy Regulatory Commission's approval of a multi-party settlement that phases in a Forward Capacity Market in New England? [read post]
17 May 2017, 6:42 am
Customers have filed complaints and The Financial Industry Regulatory Authority (FINRA) recently barred broker John Hudnall (Hudnall) – formerly with U.S. [read post]
4 Jul 2014, 5:20 am
The Financial Industry Regulatory Authority (FINRA) has sanctioned Polar Investment Counsel, Inc. [read post]
13 Mar 2014, 6:37 am
FINRA also alleged that Mannings was also responsible for reviewing and approving all of LG’s “Mutual Fund Disclosure” letters describing the registered representative’s asserted explanation for a mutual fund switch. [read post]
20 Feb 2025, 6:12 am
Furthermore, Kyi failed to consistently and comprehensively review the firm’s AML surveillance reports. [read post]
18 Mar 2024, 6:41 am
Hurricane and flood models are reviewed independently. [read post]
30 Jan 2019, 11:00 pm
According to News 12 New Jersey, a group of Mercer County homeowners opposed to the PennEast Pipeline is calling upon a state regulatory agency to stop the project from coming through their land. [read post]
2 Apr 2024, 10:12 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]
12 Dec 2024, 8:01 am
He has represented clients in patent prosecution and inter partes review procedures before the U.S. [read post]
FDA sends warning letters to infant formula manufacturers, unveils Cronobacter history in facilities
31 Aug 2023, 6:13 am
The agency will review the responses and evaluate the adequacy of corrective measures during its next inspection of each facility. [read post]
15 Mar 2011, 6:21 pm
The lite-touch regulatory regime is available under CFTC Rule 4.7 to both CPOs and CTAs who file the exemption with the NFA. [read post]
22 Apr 2021, 8:58 am
The hearing, entitled “Banking Innovation or Regulatory Evasion? [read post]
13 Mar 2019, 4:27 pm
County of Santa Barbara (2004) 121 Cal.App.4th 864, 869 [county’s preparation of EIR did not waive reliance on express CEQA exemption for coastal commission certified regulatory program, which exempted LCP amendments from CEQA review and EIR requirements].) [read post]
5 Jul 2010, 7:59 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]
5 Jul 2022, 9:07 am
Onshored Regulatory Technical Standard (RTS) 11 sets out the tick size requirements that trading venues shall comply with for equities, in particular for shares. [read post]
28 Jun 2017, 5:42 am
The respondent also argued that the Ninth Circuit’s ruling in the case did not need to be reviewed for the simple reason that it was correct; that is, the respondent argued, the appellate court had correctly interpreted and applied the relevant SEC regulatory provisions. [read post]
