Search for: "The Regulatory Review"
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1 May 2015, 1:38 pm
” Further, the employing broker-dealer must approve all discretionary orders and review the account regularly to enforce the bar against excessive transactions. [read post]
13 May 2014, 5:40 pm
When Beats by Dre’s deal with Apple was announced, I immediately thought “well, this has to face some level of regulatory scrutiny, right? [read post]
18 Dec 2024, 5:53 am
One of the pillars of the standardised approach / sensitivity-based method (SA/SbM) under the new fundamental review of the trading book (FRTB) framework is the residual risk add-on (RRAO). [read post]
26 Aug 2009, 4:08 am
This is from the press release:"Technological advances and globalization have changed our profession in ways not yet reflected in our ethics codes and regulatory structure. [read post]
26 Feb 2010, 9:16 am
Registration protects investors, at least in theory, by requiring disclosures, including audited financial statements, and review of those disclosures by a gatekeeper, the U.S. [read post]
5 Sep 2010, 12:44 pm
The investigations involve sampling, records review and looking for potential sources of contamination, such as feed. [read post]
8 May 2015, 10:42 am
Fackrell was employed by LPL Financial in North Carolina from 2010 through 2014, according to a review of publicly available records. [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]
20 Aug 2011, 8:01 am
(That’s correct, the funeral industry challenged a plan that would have reduced their regulatory oversight.) [read post]
1 Jun 2021, 8:15 am
As we noted a week ago in our summary of FCC regulatory actions, a Petition for Rulemaking has been filed by REC Networks asking that the maximum authorized power for LPFM stations be raised from 100 to 250 watts. [read post]
2 Jan 2018, 6:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), former Capitol Securities Management (Capitol Securities) employee Teryl Trenchard (Trenchard) in under investigation for fraud. [read post]
26 May 2011, 11:41 pm
A district court has denied the bids of Timothy McGinn and David Smith that the Financial Industry Regulatory Authority disciplinary proceedings against them be stayed until after the conclusion of the Securities and Exchange Commission's related civil action. [read post]
20 Nov 2014, 5:53 pm
The State and Local GMO Regulatory Landscape – Post-Election Edition – Washington, DC lawyer Peter Whitfield of BakerHostetler on the firm’s North America Shale Blog FTC and Wyndham to Mediate Dispute Over FTC Data-Security Authority – Washington, DC attorney Meena Harris of Covington & Burling on the firm’s blog, InsidePrivacy BofA Underwater Mortgage Cases Hit Supreme Court – Philip R. [read post]
1 Aug 2019, 8:26 am
It turns out that the OMB review has been completed and, according to a new Federal Register Notice, all of the new rules will become effective on August 13. [read post]
19 Feb 2022, 9:04 pm
“Accordingly, we are requesting a meeting with you to review the evidence supporting our requests, and to receive an update on the status of our petition. [read post]
6 Dec 2017, 2:23 pm
We recently blogged about the introduction of a joint resolution under the Congressional Review Act to override the rule by a bipartisan group of lawmakers. [read post]
5 Sep 2014, 6:20 am
The Financial Industry Regulatory Authority (FINRA) sanctioned brokerage firm optionsXpress, Inc. [read post]
3 Dec 2014, 7:05 am
FINRA alleged that although Genworth’s written supervisory procedures explicitly provided for the monthly review of an Active Account Report, no such report actually existed. [read post]
21 Jun 2012, 1:53 pm
After a year-long effort sparked by the drowning deaths of children who were trapped underwater by the suction from drains, most pools in Illinois are winning regulatory permission to reopen with new drainage systems — just in time for summer, too. [read post]
23 Nov 2016, 9:46 am
Now, yet another significant regulatory effort has been struck down by a judge. [read post]
