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1
Mississippi Regulatory Compliance Group Quarterly Report, Vol. 29 No. 4
When I was in high school, we had to master Roberts' Rules of Order to participate in Mississippi's Youth Congress.
United States
23 Nov 2018
2
CFTC Division Of Enforcement Touts ‘Vigorous' Year In First Annual Report
On November 14, 2018, the Commodity Futures Trading Commission (CFTC) Division of Enforcement released an annual report, apparently the first of its kind.
United States
23 Nov 2018
3
Federal Register: SEC Amends Regulation NMS To Require Additional Order-Handling Disclosures
The SEC final rule amending Regulation NMS Rules 600(b) and 606 to increase the transparency of broker-dealers' "handling and routing of orders in NMS stock" was published in the Federal Register (see previous coverage).
United States
22 Nov 2018
4
Federal Register: Bank Regulators Propose "Streamlined" Call Reports For Qualifying Small Institutions
The proposal by the FRB, the FDIC and the Office of the Comptroller of the Currency to reduce regulatory reporting requirements for eligible small depository institutions was published in the Federal Register.
United States
22 Nov 2018
5
California Subjects Hazardous Waste Facilities To New "Scoring" System That Raises Stakes For Challenging Alleged Compliance Violations
Starting in 2019, California will subject hazardous waste facilities operating in the state to a "scoring" system called the Violations Scoring Procedure (VSP).
United States
20 Nov 2018
6
CFTC Commissioner: Code Developers May Be Accountable For Smart Contracts
Recently at a conference in Dubai, Brian Quintenz, who is a Commodity Futures Trading Commission Commissioner, expressed his personal opinion on the conceptual challenges in applying the CFTC's regulatory oversight.
United States
9 Nov 2018
7
Employers: Get Out the Vote!
On Tuesday, November 6, 2018, registered Massachusetts voters have the opportunity to elect candidates for state and federal office and decide statewide ballot questions.
United States
23 Oct 2018
8
The California Consumer Privacy Act: Getting A Head Start On Compliance
The California Consumer Privacy Act (CCPA) is a new law that California Governor Jerry Brown signed on June 28, 2018, and will become effective on January 1, 2020.
United States
9 Oct 2018
10
FINRA Proposes Rule Change Regarding Qualification Exams
FINRA proposed a rule amendment to restrict access to representative- and principal-level qualification scores.
United States
4 Oct 2018
11
OFCCP Announces Contractor Recognition Program
The Office of Federal Contractor Compliance Programs ("OFCCP") has announced though Directive 2018-06 (the "Directive") the development of a Contractor Recognition Program,
United States
2 Oct 2018
12
U.S. Resolution Stay Regulations — Final Rules And ISDA Protocol
As regulators in Europe and elsewhere have done, U.S. banking regulators have introduced new regulations designed to facilitate the resolution of a global systemically important bank (GSIB).
United States
2 Oct 2018
13
PODCAST: Immigration Crash Course: What To Know About ICE Enforcement Activities
U.S. Immigration and Customs Enforcement (ICE) continues a record-setting pace in auditing and investigating employers over worksite and I-9/E-Verify compliance concerns
United States
27 Sep 2018
14
Could "CEO Action Pledge" Lead To Unintended Consequences?
The #MeToo movement has propelled employers across the U.S. to look not only at their policies for dealing with discrimination and harassment but also at their efforts ...
United States
27 Sep 2018
15
OFCCP Issues New Directive Addressing "Transparency In OFCCP Compliance Activities"
Quick Hit: OFCCP has issued Directive 2018-08 (the "Directive") which sets forth new policies and procedures for OFCCP compliance evaluations.
United States
27 Sep 2018
16
OFCCP Issues National Interest Exemption For Certain Contractors Providing Hurricane Florence Relief
The National Interest Exemption will apply to relevant contracts entered into through December 17, 2018, and is subject to extension.
United States
26 Sep 2018
17
CFTC Grants CPO Delegation Relief To Unaffiliated Entities - September 14, 2018
The CFTC Division of Swap Dealer and Intermediary Oversight ("DSIO") affirmed that it would not recommend any enforcement action against several commodity pool operators ("CPOs") for failing to register as a CPO.
United States
23 Sep 2018
18
FINRA Urges Firms To Review Contracts With Recordkeeping Service Providers
FINRA advised firms using third-party recordkeeping service providers ("providers") to ensure that contracts comply with recent guidance issued by the SEC Division of Trading and Markets staff.
United States
23 Sep 2018
19
OFCCP Issues Directive Announcing "Affirmative Action Program Verification Initiative"
OFCCP has issued a new Directive, announcing its intention to develop an Affirmative Action Program Verification Initiative
United States
21 Sep 2018
20
The Nickel Report: EPA Announces Shift From National Enforcement Initiatives To National Compliance Initiatives
As a former regulator (both as an inspector and an attorney, ensuring compliance and enforcing violations) in the environmental law enforcement space
United States
20 Sep 2018
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