Search for: "The Regulatory Review"
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23 Aug 2011, 8:00 am
Walking the line of tightening legal and regulatory demands while trying to rein in eDiscovery costs is no easy task. [read post]
18 Oct 2020, 6:08 am
Interested parties should review the fee schedules and submit their comments and reply comments by November 16 and November 30, respectively. [read post]
24 Jan 2010, 7:40 am
Securities arbitration results from the Financial Industry Regulatory Authority ("FINRA") Office of Dispute Resolution reporting the outcomes of customer initiated investment related arbitrations against stockbrokers and investment firms have been released for 2009. [read post]
5 Jan 2010, 2:48 pm
The key roles of a board of directors include monitoring regulatory compliance and risk management systems in their company. [read post]
3 Oct 2021, 5:45 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]
5 Jun 2012, 6:26 am
Unless the hearing panel’s decision is appealed to FINRA’s National Adjudicatory Council (NAC) or is called for review by the NAC, the hearing panel’s decision becomes final after 45 days. [read post]
9 Nov 2015, 7:21 am
The Financial Industry Regulatory Authority (FINRA) brought and enforcement action against broker Jeffrey Mohlman (Mohlman) (FINRA No. 2015044734401) resulting in a bar from the securities industry alleging that Mohlman failed to provide FINRA staff with information and documents requested. [read post]
7 Nov 2021, 7:25 am
Be sure you complete all necessary environmental reviews before starting the construction of any new facilities. [read post]
15 Aug 2011, 5:13 pm
Balancing authorities should review the distribution of reserves to ensure that they are useable and deliverable during contingencies. [read post]
4 Feb 2012, 9:26 am
The Shareholder Communications Coalition has asked the SEC to erect a regulatory framework for firms providing proxy advisory services to institutional investors in connection with annual or special shareholder meetings. [read post]
8 Dec 2021, 4:55 pm
The Petition also states that EPA must take the following actions: Update EPA’s human health risk assessments (HHRA) for OP pesticides to use a regulatory endpoint that the Petition claims will protect children from learning disabilities and other neurodevelopmental harm. [read post]
24 Feb 2017, 5:00 am
A district court lacks subject matter jurisdiction to hear claims when Congress creates a comprehensive regulatory scheme where it is fairly discernable Congress intended agency expertise would be brought to bear prior to any court review. [read post]
20 Jun 2016, 9:10 am
These different evidentiary burdens mean that the possibility of inconsistent results is inherent to Congress’ regulatory design. [read post]
21 May 2019, 11:40 am
Stakeholders should review all these issues closely, as these unprecedented decisions are likely to provide multiple opportunities to comment or otherwise participate to ensure that regulatory requirements are indeed being met for cancellation. [read post]
1 Aug 2014, 7:12 am
FINRA found that Wurdinger had no prior supervisory experience reviewing securities transactions for suitability nor did Wurdinger understand the unique features and risks of the product in order to conduct a suitability review. [read post]
18 Jul 2021, 8:07 am
We wrote in more depth about this quadrennial review, here. [read post]
10 Aug 2023, 6:54 am
When the pandemic abruptly shifted many employment relationships from offices and other physical workplaces to remote environments, many governmental and regulatory authorities responded by modifying existing protocols to accommodate new realities. [read post]
22 Feb 2013, 5:00 am
The staff will review for compliance in this area, as well as assess the practical application of the rule. [read post]
30 May 2017, 1:30 pm
As Compliance Counsel, Kristen focuses on the areas of regulatory compliance, third party anti-corruption, and bribery. [read post]
7 Mar 2015, 7:06 am
Employers should also review their FMLA policies and procedures and update them prior to the 3/27/2015 effective date to comply with the FMLA revision. [read post]
