Self-Regulatory Organizations

News & Analysis as of

Making a Good Thing Better? NAD’s Plans to Modify Its Procedures

The National Advertising Division (NAD) has for more than 40 years been the premier avenue for self-regulation in the advertising industry. Born in the ’70s at a time when there was pressure from government and consumer...more

NYCCHR’s Enforcement Guidance on NYC Credit Check Law: Answers and New Questions

On September 2, 2015, the New York City Commission on Human Rights (NYCCHR or Commission) issued Enforcement Guidance (Guidance) on the New York City Stop Credit Discrimination in Employment Act (SCDEA), which took effect on...more

ASRC Announces Changes to NAD and NARB Procedures Following Working Group Recommendations

The Advertising Self-Regulatory Council board has announced changes to the adjudicatory processes of the National Advertising Division and the National Advertising Review Board. The changes, announced at the NAD's annual...more

Alert: Digital Advertising Alliance Begins Enforcing Mobile Privacy Rules

On September 1, 2015, the Digital Advertising Alliance ("DAA") began enforcing the application of its Self-Regulatory Principles for Online Behavioral Advertising and Multi-Site Data (the "OBA Principles", the "MSD...more

Facial Recognition Technology: Social Media and Beyond, an Emerging Concern

This week, a major self-regulatory initiative intended to address privacy concerns associated with facial recognition technology hit a significant stumbling block. Nine consumer advocacy groups withdrew from the National...more

Ad Cops After Four Decades: Report Finds Self-Regulation Works, But Popularity May Lead To Change

MCC: On April 15, a working group associated with the ABA released a report* evaluating the National Advertising Division (NAD) and the state of advertising self-regulation in the U.S. You led the group in these efforts....more

The NAI Issues Privacy Guidelines For Interest-Based Advertising, Ad Delivery and Reporting

The Network Advertising Initiative (NAI) has issued guidance for its members on the use of non-cookie technologies for Interest-Based Advertising (IBA) and Ad Delivery and Reporting (ADR) (Guidance). The NAI is a...more

Mobile Privacy Rules to Be Enforced Starting September 1, 2015

All businesses acting in the mobile ecosystem—including app developers, analytics companies, advertising networks, app platform providers, and providers of devices and related services—should be aware that the Digital...more

Mobile Targeted Ad Enforcement to Begin This Summer

The Digital Advertising Alliance (DAA) recently announced two new mechanisms that will allow consumers to manage ad preferences on their mobile devices. (We summarized the new mechanisms in an Alert.) These new consumer...more

The Financial Report - Volume 4, No. 3 • February 2015 (Global)

Discussion and Analysis - One of the most famous routines of the late great comedian George Carlin commented on the differences between baseball and football. He said, “Baseball is a nineteenth-century pastoral game....more

SEC Adopts New Regulation to Govern the Technology Systems of the National Exchanges and Certain Other Market Participants

On November 19, 2014, the five commissioners of the U.S. Securities and Exchange Commission (SEC) unanimously voted to adopt Regulation SCI, which stands for Systems Compliance and Integrity, to govern the technology...more

FINRA: 75 Years of a Sick-Chicken Survivor

FINRA celebrated its 75th Anniversary this September 18. It is the “largest independent regulator for all securities firms doing business in the United States,” with a notionally voluntary membership of over 4,100 securities...more

The Financial Report - Volume 3, No. 15 • August 2014 (Global)

US Judicial Developments - Securities fraud litigation practices. The US Court of Appeals for the Ninth Circuit held that a party does not violate the automatic discovery stay found in the Private Securities Litigation...more

SEC Waives Rule and Reverses Course to Grant Whistleblower Windfall

In August 2013 the SEC whistleblower claims review staff issued a preliminary determination and recommended a whistleblower claim be denied. Although the record demonstrated that the claimant provided original information to...more

Financial Regulatory Developments Focus - April 1, 2014

In this issue: - Derivatives - Bank Structure - Compensation - Regulatory Capital - Financial Services - Funds - Consumer Protection - Enforcement -...more

Amendments to Uniform Branch Office Registration Form

Broker-dealers are required to use the Branch Office Registration Form (Form BR) to register their branch offices with the Financial Industry Regulatory Authority, the New York Stock Exchange and participating states via the...more

The Financial Report - Volume 3, No. 2 • January 23, 2014 (Global)

IN THIS ISSUE: • Discussion and Analysis • News from the Americas • News from Asia and the Pacific • News from Europe • Global Regulators • US Securities and Exchange Commission...more

CFPB’s New ‘‘Responsible Conduct’’ Guidelines: Will They Incentivize Greater Self-Reporting And Self-Regulation By Consumer...

On June 25, 2013, the Consumer Financial Protection Bureau (CFPB or the Bureau) issued CFPB Bulletin 2013-6, titled ‘‘Responsible Business Conduct: Self-Policing, Self-Reporting, Remediation, and Cooperation.’’ The CFPB...more

NFA Implements Additional Reporting Requirements for Certain FCMs

On January 6, National Futures Association (NFA) issued a notice to members implementing new daily, monthly and quarterly reporting requirements for futures commission merchants (FCMs) for which NFA is the designated...more

BBB Warns Advertisers and Web Publishers to Take Responsibility for Behavioral Advertising Disclosures

The Better Business Bureau (“BBB”) and the Direct Marketing Association (“DMA”) are in charge of enforcing the ad industry’s Self Regulatory Principles for Online Behavioral Advertising (“OBA Principles”), which regulate the...more

Canadian Advertisers Self-Regulate Online Behavioural Advertising

Call to Action on OBA - The Office of the Privacy Commissioner (OPC) is aware of the challenges associated with balancing privacy in the online advertising environment, and wants the ad industry to step up. On the day...more

FTC Seeks Public Comment on Proposed kidSAFE COPPA Safe Harbor Program

In a Federal Register notice to be published shortly, the FTC is seeking public comment on the kidSAFE Seal Program proposed by Samet Privacy, LLC under the “safe harbor” provision of the COPPA Rule. This provision enables...more

Amendments to SEC Rules Regarding Broker Dealer Financial Responsibility and Reporting Requirements

The Securities and Exchange Commission adopted amendments to the financial responsibility requirements for broker dealers under the Securities Exchange Act of 1934 (Exchange Act) designed to safeguard customer securities and...more

Banks Winning Battle for SMSF Assets... For Now

The growth in assets in Self Managed Super Funds (SMSFs) continues unabated with the SMSF sector now comprising nearly AUD500 billion in assets from just under 500,000 funds; each fund containing an average of around AUD1...more

Amendments to Russian Urban Development Code: Clarifications on Tort Liability

Significant amendments affecting the liability of self-regulating organizations and building owners became effective on 1 July 2013. ...more

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