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17 May 2021, 2:49 pm by William Ford, Matt Gluck
Event Announcements (More details on the Events Calendar) Tuesday, May 18, 2021, at 9:30 a.m.: The House Rules Committee will meet to discuss two bills: the Emergency Security Supplemental to Respond to January 6th Appropriations Act of 2021 and H.R. 3233, the National Commission to Investigate the January 6 Attack on the United States Capitol Complex Act. [read post]
17 May 2021, 12:00 pm by Iorio Altamirano
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker William Dixon. from the securities industry. [read post]
17 May 2021, 11:35 am by Iorio Altamirano
The Financial Industry Regulatory Authority (“FINRA”) has barred stockbroker Eric Vici. from the securities industry. [read post]
17 May 2021, 7:01 am by Rob Robinson
Consilio has extensive experience in litigation, HSR second requests, internal and regulatory investigations, eDiscovery, document review, information governance, compliance risk assessments, cybersecurity, law department management, contracts management, legal analytics, paper discovery and digital printing, as well as legal recruiting and placement. [read post]
17 May 2021, 5:01 am by Dan Greenberg
IJ's inverted pyramid, which lays out how various regulatory needs might justify various forms of occupational regulation, forces consideration of two big questions: what is the justification of any particular system of licensing, and how efficiently does that system of licensing satisfy that justification? [read post]
16 May 2021, 9:10 pm by Series of Essays
” The current editorial board of The Regulatory Review offers this special feature to honor and thank the 2020-2021 board members for their guidance and support, and for making membership on The Regulatory Review’s staff so fulfilling. [read post]
16 May 2021, 9:03 pm by Florentin Blanc
The post The Urgent Need for Indoor Air Quality Regulation first appeared on The Regulatory Review. [read post]
16 May 2021, 1:52 pm by Desiree LeClercq
Consequently, the migrant workers’ petition is directed to the Mexican government in hopes that Mexico will “encourage the United States to make [certain recommended] policy and regulatory changes. [read post]
Pending completion of the Commission’s review, the concentration in question cannot be completed and the investigated bidder cannot be awarded the contract. [read post]
14 May 2021, 8:01 am by John Jascob
The SEC also would have to periodically review its climate risk rules and report to Congress on its annual assessment of compliance with those rules; the GAO would be tasked with periodically assessing the SEC’s effectiveness in enforcing the requirements of the bill. [read post]
14 May 2021, 5:45 am by Michael Geist
The Commission’s decisions on matters of law or jurisdiction are subject to review by the Federal Court of Appeal. [read post]
14 May 2021, 5:00 am by Jacalyn Crecelius, J.D.
Reliable scientific evidence never supported these claims, thus garnering regulatory attention. [read post]
14 May 2021, 4:09 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer http://www.rrbdlaw.com/5855/securities-industry-commentator/Financial Reports and Policies (FINRA / May 20, 2021)GUEST BLOG [In]Securities: Oh No by Aegis Frumento Esq (BrokeAndBroker.com Blog)Two Jackson Men Charged in Multi-Million Dollar Fraud Scheme Conspiracy (DOJ Release)Former CEO Of Real Estate Private Equity Investment Firm Pleads Guilty To $58 Million… [read post]
13 May 2021, 9:03 pm by Sam Wong
The post Week in Review first appeared on The Regulatory Review. [read post]
13 May 2021, 8:40 pm by Hannah McAslan (UK)
ESMA will consider the feedback to the consultation paper and expects to publish a final report and submit, if necessary, regulatory technical standards (RTS) to the European Commission for endorsement in July 2021. [read post]
13 May 2021, 3:58 pm by Josh Blackman
She was first appointed to the Administrative Review Board in 2002. [read post]
13 May 2021, 1:10 pm by Iorio Altamirano
The Financial Industry Regulatory Authority’s Department of Enforcement has filed a disciplinary proceeding complaint against former broker Adam Belardino. [read post]
Join us at 2pm (BST) / 9am (EDT) on 20 May 2021 when we will be hosting a webinar on mobile data and investigations; our UK and US teams will be discussing: US and UK authorities’ expectations in relation to preservation of mobile data; Practical tips on collection and review of data in a remote working context; How to best position yourself to be able to access data; and Dealing with conflicting regulatory expectations and data privacy laws in cross-border investigations. [read post]