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Searching Content indexed under Compliance by Robert N. Holtzman ordered by Published Date Descending.
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City Protections Expand While State Law Plays Catch-Up: New Employee Protections For Gender Identity And Expression And Sexual And Reproductive Health Decisions
New York legislators have hit the ground running in 2019, enacting new legislation expanding employee protections at both state and city levels.
United States
19 Feb 2019
2
New Year, New Employee Handbook! Is Your Employee Handbook Up To Date?
Now that the Times Square glitter has settled, it's time to get started on tackling those New Year's resolutions.
United States
31 Jan 2019
3
Better Safe Than Sorry: Employers Rush To Comply With New York City's Amended Earned Safe And Sick Time Act
On May 5, 2018, New York City's amended Earned Safe and Sick Time Act became effective, commencing the countdown for employers to comply with the law's new requirements.
United States
23 May 2018
4
OCIE Examining Advisers' And Broker-Dealers' Whistleblower Compliance
The OCIE announced it is examining registrants' compliance with key whistleblower provisions arising out of the Dodd-Frank Wall Street Reform and Consumer Protection Act (the Dodd-Frank Act).
United States
7 Dec 2016
5
FINRA Rejects Forum Selection Provisions That Prohibit Bringing Arbitration Claims Before FINRA
The Notice expresses disapproval of pre-dispute forum selection provisions between member firms and associated persons.
United States
14 Nov 2016
6
FINRA Rejects Forum Selection Provisions That Prohibit Bringing Arbitration Claims Before FINRA
The Notice expresses disapproval of pre-dispute forum selection provisions between member firms and associated persons.
United States
14 Nov 2016
7
FINRA Reminds Broker-Dealers Of Predispute Agreement Responsibilities
On July 21, 2016, the Financial Industry Regulatory Authority ("FINRA") issued Regulatory Notice 16-25, which will have broad effects on an issue of interest to any firms operating a broker-dealer.
United States
7 Sep 2016
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