Search for: "The Regulatory Review"
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13 Apr 2023, 1:32 pm
Regulatory actions taken against a broker-dealer can have serious consequences for their profile and reputation. [read post]
13 Apr 2023, 10:19 am
Investors can use the tool to verify whether a broker or brokerage firm is registered with FINRA, as well as to review their employment history, licensing status, and any regulatory actions or complaints filed against them. [read post]
13 Apr 2023, 8:57 am
Financial authorities should explore ways to review the effectiveness of FIs’ CIR and CIRR processes and procedures as part of their existing supervisory or regulatory engagement. [read post]
13 Apr 2023, 8:41 am
. is entitled to judicial review thereof. [read post]
13 Apr 2023, 5:17 am
Matson was barred from the Securities Industry by FINRA, the Financial Industry Regulatory Authority, for refusing to cooperate with their regulatory investigation. [read post]
12 Apr 2023, 11:05 pm
Evaluating the potential joint venture partner’s legal and regulatory compliance, including their intellectual property rights and any potential legal disputes. [read post]
12 Apr 2023, 9:05 pm
Overall, Blumm’s account of international solutions—in addition to his assessment of domestic regulatory, common law, and statutory solutions—shows how various legal sources could be used to conserve the economically and culturally valued Northwest Pacific salmon.The post Swimming Upstream Amid Climate Change first appeared on The Regulatory Review. [read post]
12 Apr 2023, 3:01 pm
She also has decades of regulatory and other government affairs experience with these concerns including defending these and other businesses before the IRS, EBSA, WHD, EEOC, OCR, HHS, state labor, insurance, and other authorities, and evaluating and responding to federal, state and local statutory, regulatory and enforcement actions by federal and state legislators and regulators. [read post]
12 Apr 2023, 12:47 pm
He was also terminated by Morgan Stanley and permanently barred from the securities industry by the Financial Industry Regulatory Authority. [read post]
12 Apr 2023, 12:12 pm
(Article 11) Providers of generative AI must also establish a mechanism to intake and review complaints from end users. [read post]
12 Apr 2023, 10:26 am
Using their state-delegated land use regulatory authority, local governments can reconsider when and how they allow coastal development in the wake of sea-level rise. [read post]
12 Apr 2023, 8:55 am
Williams (Boston College - Law School) has posted Unconstitutional Conditions and the Constitutional Text (University of Pennsylvania Law Review, Vol. 172, 2023) on SSRN. [read post]
12 Apr 2023, 8:23 am
The proposals follow the Joint Committee of the ESAs’ mandate, received from the European Commission on 28 April 2022, to review and revise the regulatory technical standards laid down in the SFDR Delegated Regulation. [read post]
12 Apr 2023, 7:45 am
Policy experts have responded by urging regulators to improve nursing-home oversight practices and by calling for new regulatory and statutory authority to increase accountability. [read post]
12 Apr 2023, 7:35 am
Assailed from all quarters for being not tough enough, for being too tough, for being fundamentally misconceived, for threatening freedom of expression, for technological illiteracy, for threatening privacy, for excessive Ministerial powers, or occasionally for the sin of not being some other Bill entirely – and yet enjoying almost universal cross-party Parliamentary support - the UK’s Online Safety Bill is now limping its way through the House of Lords. [read post]
12 Apr 2023, 6:35 am
APHIS will thoroughly review and consider all public input submitted during the comment period and will use this information to complete and publish final environmental documents and its regulatory determination. [read post]
12 Apr 2023, 12:00 am
Hebert Law Center) has posted How to Make $1 Million in Thirty Seconds or Less: The Need for Regulations on Finfluencers (Louisiana Law Review, Vol. 84, Forthcoming) on SSRN. [read post]
11 Apr 2023, 9:05 pm
As a result, they conclude that agencies could consider making expanded access to the drug an additional cornerstone in the government’s efforts.The post Regulating to Improve Methadone Access first appeared on The Regulatory Review. [read post]
11 Apr 2023, 9:00 pm
featuring a panel of leaders from FDA, Cargill, Dole Food Company, USDA, Yum Brands, and J&J Snack Foods, who will review how getting to the root cause is a cost-effective approach to management/operations in any organization. [read post]
11 Apr 2023, 11:53 am
Securities has at least 15 regulatory actions on their broker report or CRD. [read post]
