Search for: "The Regulatory Review"
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30 Nov 2022, 10:23 am
Customs regulatory environment. [read post]
14 Dec 2023, 1:21 am
The firm has offices in Seattle, Washington and Chicago, Illinois and reviews securities cases across the country. [read post]
25 Apr 2023, 6:14 am
Supervisors must review the circumstances, sign and submit the forms within 48 hours. [read post]
18 Nov 2023, 9:00 pm
Look on our Broadcast Law Blog for other updates, including our summary of December regulatory dates for broadcasters, between now and then. [read post]
9 Jan 2021, 2:00 pm
Therefore, when you are reviewing a service or claim, you must consider whether there is any indication of possible statutory or regulatory violations. [read post]
5 Oct 2017, 1:28 pm
Even if you are cleared of wrongdoing, conduct a review of your company’s policies and implement preventive measures that will provide for consistent EEOC compliance. [read post]
26 Feb 2018, 12:53 pm
As you cruise around our website, you’re likely to see references to the Financial Industry Regulatory Authority, more commonly known by the acronym “FINRA”. [read post]
1 May 2017, 3:00 am
While Congressional efforts at financial regulatory reform may end up languishing this year, this McGuire Woods blog speculates that 2017 may be the year that finally sees Congress act to sort out the mess that is the law of insider trading: House Judiciary Committee Chairman Bob Goodlatte announced the committee’s agenda for the 115th Congress. [read post]
7 Aug 2022, 6:38 am
Here are some of the regulatory developments of significance to broadcasters from the past week, with links to where you can go to find more information as to how these actions may affect your operations. [read post]
28 Oct 2020, 6:00 am
” This is an important message that the Financial Industry Regulatory Authority (FINRA) wants all individual investors to know. [read post]
7 Oct 2019, 6:04 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), the customer complaints against Shadie concerns allegations over variable annuity sales practices. [read post]
31 Jul 2018, 2:13 pm
According to BrokerCheck records kept by The Financial Industry Regulatory Authority (FINRA) advisor Joseph Pratte (Pratte), formerly associated with Signator Investors, Inc. [read post]
28 Feb 2008, 3:05 pm
FINRA said the firm had initiated a review of its mutual fund sales and acted promptly and in good faith to correct its system and procedures and had reimbursed its customers over $612,000. [read post]
17 Aug 2023, 3:30 am
Ripple Labs, (SDNY 7/23), suggesting that the decision may not be the massive victory for crypto that some were calling it and lamenting that the Ripple decision was just one development in the crypto saga — certainly not bringing the regulatory clarity some had hoped. [read post]
28 Nov 2022, 10:25 am
A review of one of Morgan Stanley’s client’s arbitration awards reportedly led to FINRA’s investigation. [read post]
23 Mar 2015, 11:26 am
On January 27, 2015, the Consumer Financial Protection Bureau (“CFPB”) issued a compliance bulletin reminding supervised financial institutions (including large depository institutions, credit unions and their affiliates, certain nonbanks, and service providers) of existing regulatory requirements regarding confidential supervisory information. [read post]
16 Jan 2018, 2:09 pm
CDC, public health and regulatory officials in several states, and the U.S. [read post]
23 Sep 2015, 2:42 pm
The Financial Industry Regulatory Authority (“FINRA”) has just approved steps to help protect senior citizens and other potentially vulnerable adults from financial exploitation and abuse. [read post]
1 Mar 2021, 8:44 am
” During the demonstration, Crutchfield and King also reviewed other recent enhancements WK has introduced. [read post]
29 Apr 2016, 4:45 am
Hong Kong does not have any overarching cybersecurity legislation, and industry-specific regulatory activity in relation to cybersecurity has been limited to date. [read post]
