Search for: "The Regulatory Review Staff"
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30 Mar 2012, 11:16 am
” The SEC has not hired new staff to focus on reviewing the registration applications specifically, although the office that conducts examinations has hired 60 more staff members over the past 18 months. [read post]
13 Aug 2010, 8:59 am
Working with one other attorney and paralegal staff, the successful candidate will review and negotiate fund intermediary agreements, participation agreements, authorized participant agreements and vendor contracts as well as assist in applicable FINRA and SEC matters, including necessary filings, coordination with the Compliance staff, and regulatory issues. [read post]
28 Sep 2011, 7:25 am
This delay suggests that the Commission is taking the time to review the rule, and perhaps to correct the data collection mismatch. [read post]
6 Jan 2010, 1:25 am
This is meant to help the FTC staff understand the issues that it will grapple with. [read post]
18 Jul 2008, 8:44 pm
Thoreau-FDA stands for Thorough - High - Objectivity - Review - Ends - Are - Us - FDA. [read post]
4 Jun 2016, 10:00 pm
Onsite reviews were an important part of the assessment process; those reviews allowed FDA to see first-hand how Canada implements the programs they’ve described in the ICAT and Canada conducted a similar review of the way FDA operates its food safety programs. [read post]
30 Sep 2009, 6:00 am
Put in place policies and procedures or training mechanisms to ensure staff have an understanding of what types of information should be validated during investigations with independent parties such as the Financial Industry Regulatory Authority, Depository Trust Company, and Chicago Board Options Exchange. [read post]
3 Jan 2025, 8:25 am
This decision expanded the ability of courts to review and reject certain interpretations of statutes by federal administrative agencies. [read post]
18 Sep 2020, 2:07 pm
In the blog post, the FTC staff also acknowledged that the ongoing “COPPA Rule review continues,” but they did not provide a timeline for completion of the review. [read post]
23 Jan 2024, 4:45 am
This overview will be invaluable for understanding the regulatory landscape, ensuring compliance, and strategizing foreign investments in the U.S. market. [read post]
22 Apr 2021, 8:58 am
The hearing, entitled “Banking Innovation or Regulatory Evasion? [read post]
18 Jul 2020, 11:27 am
Music license holders need to review carefully the licenses they hold to be sure that the new activities they are involved in due to the pandemic, including conducting business and other public gatherings on ZOOM and similar platforms, are covered by the rights they hold. [read post]
11 May 2023, 8:13 am
As with the last FCC audit, the FCC staff will review the audit responses and ask for additional information if they find the public file documentation to be incomplete, but they will not inform audited stations that their EEO performance was found satisfactory. [read post]
4 Oct 2023, 6:30 am
Consequently, inevitable regulatory conflicts are usually resolved by litigation, whether they involve the scope of regulatory power stemming from the interpretation of governing statutes, determining jurisdictional conflicts between regulators, or reviewing regulatory action. [read post]
1 May 2012, 8:45 am
For resource issuers in particular, it appears that securities regulatory staff will review all materials published and hyperlinked from the company’s website for NI 43-101 compliance, including third party materials such as analyst reports (which are also specifically addressed in National Policy 51-201 Disclosure Standards). [read post]
18 May 2022, 9:01 pm
We review the disclosures and financial statements of more than 8,200 reporting companies. [read post]
11 Feb 2015, 4:24 am
Perhaps the exclusion was meant to be narrow; the regulatory history is not clear. [read post]
30 Dec 2010, 6:00 am
In the past three years, international regulatory focus on remuneration has gripped the globe. [read post]
4 Mar 2010, 3:17 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]
3 Aug 2014, 12:29 pm
Jeffrey Sprecher , ICE CEO, ( and in November of last year, ICE completed its acquisition of NYSE Euronext), testified that, while Regulation NMS sought to increase competition among markets and consequently increased fragmentation, the costs associated with maintaining access to each venue, retaining technologists and regulatory staff, and developing increasingly sophisticated risk controls are passed on to investors and result in unnecessary systemic risk. [read post]
