Search for: "The Regulatory Review"
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10 Feb 2023, 8:37 am
On February 6, 2023, the Securities and Exchange Commission (“SEC”) announced that it settled regulatory charges of potential investment fraud against Centaurus Financial, Inc. [read post]
15 Nov 2021, 9:05 am
While the lack of a regulatory framework certainly makes it harder to recover fraudulent cryptocurrency losses than for traditional securities, falling victim to a cryptocurrency scam when investing through a broker or large firm regulated by FINRA or the SEC makes it easier. [read post]
16 Nov 2016, 8:20 am
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
1 Nov 2024, 10:53 am
On October 2, a significant milestone was reached in the Voluntary Carbon Markets (VCMs) regulatory landscape. [read post]
3 Dec 2008, 5:26 pm
Employers should review their policies to ensure continued compliance. [read post]
9 Nov 2021, 5:48 pm
On November 8, 2021, the Financial Industry Regulatory Authority (“FINRA”) and Aegis Capital Corp. [read post]
21 Jan 2021, 5:47 am
Every federal agency will be asked to review equity in their programs and actions. [read post]
3 Nov 2016, 2:13 pm
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
16 Nov 2016, 8:20 am
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
16 Nov 2016, 8:20 am
These structured notes were issued by Merrill Lynch’s parent company, Bank of America Corporation, but Merrill Lynch had principal responsibility for drafting and reviewing the retail pricing supplements. [read post]
19 Sep 2008, 6:00 pm
: (IPRoo), Australia's National Innovation Review report: Ventureaustralia - venture capital and the value of IP? [read post]
25 Jun 2024, 4:00 am
However, the auction process is far from a simple endeavor, requiring careful planning, strategic execution, and a deep understanding of the legal and regulatory landscape. [read post]
13 Oct 2017, 6:28 am
What that looks like while still having protection measures in place against litigation and/or regulatory violations is still very much up in the air. [read post]
9 Oct 2023, 11:00 pm
Institutions must establish and implement a compliance monitoring program to regularly review, assess, and ensure that they are complying with the requirements of the FCRA. [read post]
3 Dec 2024, 2:00 am
For Practical Guidance content on important recent trends, review these easy-to-use Resource Kits: Financial Services Regulations Fundamentals Resource Kit Bank Regulatory Counsel Resource Kit Environmental, Social, and Governance (ESG) Resource Kit The Fall 2024 Edition of The Practical Guidance Journal features guidance on the use of AI in employment decisions, AI considerations in acquisition agreements, Chevron deference reversal challenges in FDA rulemaking, 50 years of ERISA… [read post]
9 Apr 2024, 6:35 am
As a result, the stay preserves the status quo until the completion of judicial review and thus removes any need for the court to intervene. [read post]
21 Nov 2014, 10:22 am
Winslow Sargeant, Chief Counsel for Advocacy, noted that a Small Business Advocacy Review panel is required under the Regulatory Flexibility Act (Pub. [read post]
20 May 2024, 10:00 pm
The practice note describes the basic elements of a CFO, execution of a CFO, regulatory issues related to CFOs, how a CFO differs from other similar transactions, and what is driving the recent growth in the CFO market. [read post]
9 Feb 2018, 8:00 am
This year’s priorities focus on five main areas: (1) compliance of and risks associated with service providers; (2) issues directly affecting retail investors; (3) the activities and operations of the Financial Industry Regulatory Authority and the Municipal Securities Rulemaking Board; (4) cybersecurity; and (5) anti-money laundering programs. [read post]
1 Oct 2024, 3:00 am
Dodd-Frank Act Bank Capital Requirements Read this practice note summarizing key changes to the U.S. bank regulatory capital framework made by the Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010. [read post]
