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New Rules Regulatory Oversight Compliance

Ruder Ware

Capitol Connection: Wisconsin Supreme Court Shifts Rulemaking & Regulatory Landscape

Ruder Ware on

In July, the Wisconsin Supreme Court issued a landmark ruling in Evers v. Marklein that reshapes how administrative rules are created and implemented in the state. The Court struck down the Joint Committee for Review of...more

BCLP

Through the Issuance of New Rules Aimed at Recidivist Brokers and the Firms That Hire Them, FINRA Loudly Exclaims to its...

BCLP on

Key Takeaways:  ..After years of warning firms of the need for enhanced diligence in retaining or hiring brokers with a significant history of misconduct, FINRA has adopted new rules to address such brokers. ..As set...more

Health Care Compliance Association (HCCA)

[Virtual Event] 2021 Regional Healthcare Compliance Conference - Dallas, TX - February 12th, 8:25 am - 4:30 pm CST

Our Virtual Regional Healthcare Compliance Conferences provide updates on the latest news in regulatory requirement, compliance enforcement, and strategies to develop effective compliance programs. Watch, listen, and ask...more

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