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19 Apr 2016, 8:57 am
The staff also sought input on recordkeeping for beneficial owners, administration of issuer plans, and the role of transfer agents with respect to mutual funds and crowdfunding. [read post]
9 Dec 2024, 7:48 am
Regulatory rollbacks. [read post]
19 Nov 2018, 8:13 am
” They also ask whether there were any communications explaining supervisory expectations of “elevated risk” or “high risk” merchants with regulated institutions that would likely qualify as a rule under the Congressional Review Act that were not properly submitted to Congress and what the FDIC is doing to ensure that its staff does not communicate policy in a matter that is inconsistent with the position of the FDIC’s Board of Directors. [read post]
17 Mar 2012, 4:37 am
Schapiro, Chairman of the Securities and Exchange Commission (SEC), in which Chairman lssa criticized perceived regulatory impediments to capital formation, the staff of the Division of Corporation Finance of the SEC (the Division) has committed to undertake a review of certain regulatory provisions, including: Click here to read the complete post... [read post]
18 Jul 2019, 3:02 am
For example, the Council of Institutional Investors recently submitted a comment letter to Corp Fin that frames the Staff’s approach as an arbitrary “too complex for shareholders” test – and requests that the Staff again revisit its approach to the rule. [read post]
17 Mar 2025, 9:06 pm
“Investing in food safety is not merely a regulatory obligation; it is an essential commitment to the health and security of our nation. [read post]
14 Sep 2017, 9:02 am
Patients crying for assistance from too few staff. [read post]
26 Jul 2023, 3:00 am
The SEC Staff, to its credit, tried to be proactive by advancing its own framework for disclosure of cybersecurity in the form of CF Disclosure Guidance Topic No. 2 – Cybersecurity (October 13, 2011), which generally reviewed the applicability of existing SEC disclosure requirements to cybersecurity concerns. [read post]
7 Nov 2013, 1:51 pm
This interest by SEC examination and enforcement staff should come as no surprise to investment advisers. [read post]
14 Nov 2014, 2:15 pm
SCI entities include several entities further defined in the proposal, including SCI self-regulatory organizations, SCI ATSs, plan processors, or exempt clearing agencies under the ARP. [read post]
5 Jan 2021, 11:37 am
Several days later, on December 31, 2020, the Department of Health and Human Services (HHS) Office of Public Affairs tweeted a statement from Brian Harrison, HHS Chief of Staff. [read post]
22 Feb 2017, 1:21 pm
PRIA is designed to help maintain some certainty and predictability to the review process. [read post]
1 Mar 2021, 8:44 am
” During the demonstration, Crutchfield and King also reviewed other recent enhancements WK has introduced. [read post]
25 Dec 2011, 11:54 am
This announcement follows a recent law enforcement trend by the Conservative government generally and key Canadian regulatory officials. [read post]
4 Aug 2024, 7:58 am
On our Broadcast Law Blog, we highlighted the regulatory dates and deadlines for broadcasters in August and early September. [read post]
12 Feb 2025, 5:42 am
The heightened scrutiny reinforces the need for early risk assessments, data governance strategies, and AI-driven eDiscovery solutions to ensure a smooth regulatory review process. [read post]
10 Jan 2014, 12:19 pm
Despite these findings, the staff report did not make any legislative recommendations. [read post]
5 Jun 2023, 6:30 am
The Sarbanes-Oxley Act of 2002 requires the SEC to review companies’ filings at least once every three years, and the SEC sends comments to the company when SEC staff believe that the disclosures in its filings can or should be improved. [read post]
5 Jun 2023, 6:30 am
The Sarbanes-Oxley Act of 2002 requires the SEC to review companies’ filings at least once every three years, and the SEC sends comments to the company when SEC staff believe that the disclosures in its filings can or should be improved. [read post]
24 Feb 2023, 7:53 pm
Midwest Environmental Advocates Staff Attorney for Native Nation Partnerships. [read post]
