News & Analysis as of

Supervision Proposed Regulation

Barnea Jaffa Lande & Co.

Licensing and Supervision of Broker-Dealers: Key Points of the New Memorandum of Law

Barnea Jaffa Lande & Co. on

In October of this year, the Israel Securities Authority published a memorandum of law aimed at regulating broker-dealer activities in Israel. Public comments will be accepted until 21/11/24. At issue is an initiative that...more

Venable LLP

All Things Seen and Unseen: Bank Supervision and Enforcement After the Spring 2023 Bank Failures

Venable LLP on

Besides being a shock to the market, the 2023 bank failures caused many to ask whether the federal banking agencies had done enough to prevent them. Precisely what the agencies should have done, or should do moving forward,...more

A&O Shearman

Generative AI and the EU AI Act – a closer look

A&O Shearman on

When the European Commission first released its proposal for an Artificial Intelligence Act in April 2021, generative AI was far from being an immediate concern of regulators. That of course all changed with the recent surge...more

Latham & Watkins LLP

Federal Reserve Proposes Climate Risk Guidance for Large Financial Institutions

Latham & Watkins LLP on

The guiding principles are similar to related proposals from other banking regulators, but will require further clarification through the comment process. On December 2, 2022, the Board of Governors of the Federal...more

Baker Donelson

Agency's About-Face: CMS Proposes Changes to Supervision Rules for Hospital Outpatient Therapeutic Services

Baker Donelson on

Among the many provisions in the FY 2020 Outpatient Prospective Payment System (OPPS) proposed rule is one that would alter the supervision standards applicable to hospital outpatient therapeutic services. See 84 Fed. Reg....more

Barnea Jaffa Lande & Co.

Israel Securities Authority Demands Being Granted Authority to Supervise Underwriters and Distributors

The Israel Securities Authority (ISA) recently published a proposal for amending the Securities Law as to the supervision of underwriters and distributors. The ISA aims to add a section to the law that would authorize it to...more

Faegre Drinker Biddle & Reath LLP

FTC Supports Easing Dental Hygienist Restrictions, Increasing Access to Underserved

The Federal Trade Commission (FTC or Commission) released a statement on January 29 in support of a Georgia state bill that would further relax supervision requirements for dental hygienists. The proposed bill would expand...more

Faegre Drinker Biddle & Reath LLP

FTC Gives Mixed Review of South Carolina’s Nurse Supervision Proposal

The Federal Trade Commission (FTC or Commission) submitted written comments on November 2nd to South Carolina’s state legislature on the competitive impact of proposals to modify the supervision requirements for advanced...more

Broker-Dealer Compliance + Regulation

FINRA Proposes Rules to Help Avoid Financial Exploitation of Seniors

Avoiding financial exploitation of older investors has been on our regulators’ radar screens for several years. With new rules proposed in October 2015, FINRA seeks to make investing safer for seniors and other vulnerable...more

McDermott Will & Emery

CMS Addresses Current Position on Supervision and Practitioner Qualifications Under ‘Incident-To’ Billing Rules

McDermott Will & Emery on

Among the proposed changes to Medicare regulatory requirements related to billing and coverage of physician services set forth in the 2016 Medicare Physician Fee Schedule Proposed Rule (the Proposed Rule), the Centers for...more

Morrison & Foerster LLP

The CFPB 2015 Forecast: Continued Cloudiness, Thunderstorms Likely

This will be a busy year at the Consumer Financial Protection Bureau (CFPB), and that certainly means it will be a busy year for financial institutions as well. In addition to exercising its supervisory and enforcement...more

Stinson - Corporate & Securities Law Blog

Agencies Seek Comment On Dodd-Frank Act Stress Test Guidance For Medium-Sized Firms

Three federal bank regulatory agencies are seeking comment on proposed guidance describing supervisory expectations for stress tests conducted by financial companies with total consolidated assets between $10 billion and $50...more

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