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Oregon Health Care Market Oversight Program Creates Hurdle for Healthcare Transactions

Healthcare organizations be warned: entities that operate, own, or are closely related to a health care provider with any presence in Oregon may need to seek approval from the State before completing any merger, acquisition,...more

SEC Division of Examinations Announces 2023 Priorities

On February 7, 2023, the Securities and Exchange Commission’s Division of Examinations announced its fiscal year 2023 examination priorities. This year, the Division continues its focus on protecting investors by prioritizing...more

SEC Division of Examinations Announces 2022 Priorities

On March 30, 2022, the Security and Exchange Commission’s Division of Examinations announced its fiscal year 2022 examination priorities. This year’s theme is empowering compliance officers. Once again, the Division’s...more

SEC Division Of Examinations Announces 2021 Priorities

On March 3, 2021, the Security and Exchange Commission’s Division of Examinations (formerly the Office of Compliance Inspections and Examinations, now either “the Division” or “EXAMS”) announced its fiscal year 2021...more

CBD Business And Regulation Focus - The 2018 Farm Bill

So, can you ship hemp across state lines now? Not without risk. The 2018 Farm Bill makes it possible to produce hemp in some states without violating federal law. Nevertheless, uncertainty remains for the hemp industry,...more

Supreme Court Throws Out SEC Administrative Law Judge Process

On June 21, 2018, the Supreme Court of the United States invalidated the process that the Securities and Exchange Commission ("SEC") had been using to appoint administrative law judges. Staff from the SEC had selected...more

Elder Abuse Prevention And Prosecution Act

We previously talked about recent changes to Oregon law and FINRA rules relating to elder abuse prevention and the prosecution of financial services companies for noncompliance . This article focuses on The Elder Abuse...more

Vulnerable Person Abuse Protections Coming To FINRA In 2018

Similar to the Oregon legislature's recent changes to ORS Chapter 59, intended to protect "vulnerable persons" against financial exploitation, FINRA has implemented changes to its rules effective February 5, 2018, intended to...more

SEC's Office Of Compliance Inspections And Examinations Priorities For 2018

On February 7, 2018, the Security and Exchange Commission's Office of Compliance Inspections and Examinations announced its 2018 examination priorities. For 2018, OCIE's priorities fit into five broad categories:- ...more

New “Financial Abuse” Mandatory Reporting Requirements For Oregon Investment Adviser Representatives

Significant changes are coming to state, regulatory, and federal law with respect to reporting financial abuse of "vulnerable persons." These legal changes will impact the day-to-day operations of financial services...more

DOL Fiduciary Rule Delayed for 60 Days

Today, April 7, 2017, the Federal Register published the U.S. Department of Labor's (DOL) final rule extending the applicability date of the ERISA Fiduciary Rule from April 10, 2017 to June 9, 2017. Other delays included...more

Temporary Guidance for Fiduciary Rule Compliance

On Friday, March 10, 2017, the Department of Labor (DOL) issued a field assistance bulletin (FAB) adopting a temporary enforcement policy regarding compliance with the ERISA Fiduciary Rule. ...more

Fiduciary Rule's Status Uncertain

On Friday, February 3, 2017, the President signed an executive order requiring the re-examination of the final Fiduciary Rule (81 Fed. Reg. 20946 (April 8, 2016)) set to go into effect on April 10, 2017. The Fiduciary Rule,...more

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