Search for: "The Regulatory Review Staff"
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27 Mar 2023, 5:00 am
The company reiterated its request to the SEC for a crypto framework so that operators in the space can proceed with regulatory clarity. [read post]
24 Mar 2015, 5:33 am
Looking ahead to 2015, the report predicted that proxy access will remain a hot issue, especially after SEC Chair Mary Jo White directed her staff to review Rule 14a-8(i)(9) following the controversy over proxy access at Whole Foods. [read post]
3 Jun 2024, 8:01 am
In the "Guidance Letters," Vullo urged the DFS-regulated entities to evaluate and manage their risks, including reputational risks, from their relationship with the NRA, and to review any relationships they have with the NRA or similar gun-rights organizations. [read post]
20 Oct 2023, 11:00 am
Recent occurrences highlight the need for urgently reviewing cybersecurity policies, such as . [read post]
7 Nov 2011, 10:37 am
., office of WilmerHale.Prior to his initial SEC service as a staff member, Commissioner Gallagher was the General Counsel and Senior Vice President of Fiserv Securities, Inc., where he was responsible for managing all of the firm’s legal and regulatory matters. [read post]
26 Jan 2011, 2:53 pm
The study further recommends that the SEC harmonize other areas of broker-dealer and investment adviser regulation, such as regulations pertaining to advertising and communication, the use of finders and solicitors, supervision and regulatory reviews, licensing and registration of firms, licensing and registration of associated persons, and maintenance of books and records. [read post]
19 Mar 2010, 8:57 am
Hegelian dialectic #2 lies in Green's view of the debate over regulatory reform. [read post]
5 Jun 2012, 4:18 pm
Also, the bill makes up to $100,000 available for expenses for consultations and meetings hosted by the Commission with foreign governmental and other regulatory officials, members of their delegations and staffs to ex change views concerning securities matters.The bill provides that funds made available to the CFTC and the SEC by this or any other Act may be used for the interagency funding and sponsorship of a joint advisory committee to advise on emerging regulatory… [read post]
2 Jul 2009, 7:06 pm
We will need to hire staff and implementing new technology to effectively deal with a large and complex industry. [read post]
14 Oct 2024, 5:54 am
Comprehensive procompetitive regulatory reform of the American health-care system would be a good step forward. [read post]
3 May 2010, 9:30 pm
The following is a summary review of articles from all over the nation concerning environmental law settlements, decisions, regulatory actions and lawsuits filed during the past week. [read post]
9 Aug 2011, 4:58 pm
The persons carrying out the reviews of quality assurance systems of audit firms should have appropriate professional training and relevant experience in auditing and financial reporting, and training in regulatory quality assurance reviews. [read post]
18 Nov 2011, 1:49 pm
Subjecting this ongoing communication to a formal process for determining the nature of each communication would put insurers and CDI staff into a regulatory straightjacket that would prevent things from getting done. [read post]
30 Jan 2025, 8:34 pm
Allow Human Override of AI Tool Decisions: Use tools that allow qualified human staff to override and report discriminatory decisions made by such AI tools through mechanisms such as “human in the loop” AI review. [read post]
14 May 2013, 6:56 am
In addition, CMS proposes to revise the conditions of participation (CoPs) for hospitals relating to the administration of vaccines by nursing staff, and the CoPs for critical access hospitals relating to the provision of acute care inpatient services. [read post]
14 Feb 2022, 5:00 am
Other deficiencies mentioned in the report include inadequate staff training, failure to comply with Reg. [read post]
19 Sep 2014, 7:35 am
“We need the Commission and its expert staff to reoccupy the market structure playing field,” he said.Regulation NMS. [read post]
29 Nov 2019, 5:00 am
While proxy advisory firms should and do have procedures in place to mitigate any potential conflicts of interest, the comptroller could not imagine a conflict of interest more "insidious" than the one created by a proposal that would grant a company that is the subject of proxy voting advice the right to review and provide feedback on that advice. [read post]
9 Apr 2025, 1:56 pm
SEC-regulated firms should maintain relevant policies and procedures and regularly review such policies with employees. [read post]
21 Dec 2016, 9:18 am
A recent GAO report catalogues five particular areas of concern for small and rural physician practices, based on a literature review and stakeholder interviews: Financial resources and risk management Limited ability to take on financial risk because of relatively fewer financial resources/reserves High costs of initial and ongoing investments for participation Difficulties recovering investments in a timely manner Health IT and data Difficulties with data system interoperability… [read post]
