Search for: "The Regulatory Review"
Results 381 - 400
of 28,198
Sort by Relevance
|
Sort by Date
11 Apr 2023, 11:53 am
Securities has at least 15 regulatory actions on their broker report or CRD. [read post]
11 Apr 2023, 8:52 am
Per the Court: “Petitioner’s contention misstates the applicable standard of review. [read post]
11 Apr 2023, 5:53 am
Documents released under Access to Information and a careful review of government “summaries” point to a pattern of failing to fully brief Canadians on the policies and their development. [read post]
11 Apr 2023, 3:10 am
The “cost-benefit” analysis for federal regulatory reviews may be getting a makeover. [read post]
11 Apr 2023, 2:10 am
FINRA Rule 5310 is a regulation created by the Financial Industry Regulatory Authority (FINRA) that governs best execution practices for broker-dealers. [read post]
10 Apr 2023, 9:05 pm
Only more time will reveal, however, the proposed rules’ ultimate effects on fair lending practices, community investment financing, and the overall effectiveness of the Community Reinvestment Act.The post Regulators Propose Updates to Community Reinvestment Act Rules first appeared on The Regulatory Review. [read post]
10 Apr 2023, 9:01 pm
To appreciate how radical the opinion is, one has to understand both (1) the narrow, technical issue of how the FDA reviews drugs and (2) the much broader issue regarding how FDA review fits into our larger system of government, by which Congress endowed the FDA with immense responsibility to review new drugs. [read post]
10 Apr 2023, 4:43 pm
Against this hostile regulatory environment, it is certainly hard to conceive that there won’t be a significant impact on the UK technology sector. [read post]
10 Apr 2023, 11:49 am
Although our offices are in Seattle, Washington and Chicago, Illinois, the firm reviews securities fraud cases throughout the country. [read post]
10 Apr 2023, 8:26 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]
10 Apr 2023, 7:37 am
But it was not a regulatory process and, therefore, potentially subject to CBP discretion. [read post]
10 Apr 2023, 4:02 am
Securities Industry Commentator: A legal, regulatory, and compliance feed curated by veteran Wall Street lawyer Bill Singer https://www.rrbdlaw.com/6984/securities-industry-commentator/ After Thanking Very Helpful Whistleblower, The SEC Then Stabs The Tipster In The Back (BrokeAndBroker.com Blog) FINRA Arbitrators Award Damages Against Morgan Stanley In Case Alleging Customer Lacked Mental Capacity (BrokeAndBroker.com Blog) Pro Se Registered Respondent A No Show At Arbitration… [read post]
9 Apr 2023, 9:05 pm
Cook concludes that, although top-down federal regulatory action in the past has failed to solve the state-level problems facing transmission, federal regulators can—and should—engage with local communities and deploy creative funding methods to help the United States transition to a more sustainable energy mix to fight climate change.The post Solving State Transmission Roadblocks to Unlock Renewable Energy first appeared on The Regulatory Review. [read post]
9 Apr 2023, 2:03 pm
Setting the stage, ESG is uncharted territory with few authoritative sources of information, including no scholarly treatises and few if any peer reviewed published papers, so blogs like this one are the best source of reliable information. [read post]
8 Apr 2023, 6:15 am
’ Kirkus Reviews [read post]
7 Apr 2023, 5:00 pm
Review of proposed disciplinary actions by Navajo Nation government programs for compliance with Navajo Nation Personnel Policies Manual and Navajo Preference in Employment Act. [read post]
7 Apr 2023, 3:47 pm
Moderator: Pamela Samuelson, Berkeley Law School From Notice-and-Takedown to Content Licensing and Filtering: How the Absence of UGC Monetization Rules Impacts Fundamental Rights João Quintais, University of Amsterdam with Martin Senftleben, University of Amsterdam Human rights impact of the new rules. [read post]
7 Apr 2023, 12:52 pm
A regulatory proposal leaked to the press has already been the subject of extensive commentary (see here, here, and here). [read post]
7 Apr 2023, 10:51 am
Avoids problems of regulatory arbitrage. 230 v. [read post]
7 Apr 2023, 8:55 am
Here is the abstract: National security review of corporate transactions has long been a relatively sleepy corner of regulatory policy. [read post]
