Search Results for keywords:"enforcement activities"

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Search Results: keywords:"enforcement activities"

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  • 2025-03382 — Sunshine Act Meetings
    Type:Notice
    Citation:90 FR 10998
    Reading Time:about 3 minutes

    The Unified Carrier Registration (UCR) Plan Enforcement Subcommittee is holding a meeting on March 5, 2025, in Dallas, Texas, which will also be accessible online. The meeting’s agenda includes a review of enforcement activities from 2024, discussions about creating tools for enforcement officers, and initiatives for raising awareness about UCR in 2025. The Subcommittee will also discuss updates to training materials and present an inspector award for outstanding enforcement efforts. The meeting is open to the public, and those interested can participate via conference call or Zoom.

    Simple Explanation

    The Unified Carrier Registration Plan is having a meeting in Dallas, Texas on March 5, 2025, where they will talk about how to make sure trucks follow the rules, create helpful tools for officers, and give a special award to a hard-working inspector. People can join the meeting in person or online.

  • 2024-31340 — Self-Regulatory Organizations; The Nasdaq Stock Market LLC; Notice of Filing of Proposed Rule Change To Assume Operational Responsibility for Litigating Contested Disciplinary Proceedings Arising Out of Nasdaq-Led Investigations and Enforcement Activities and Amend Rules 9131 and 9810 (of General 5, the Nasdaq Discipline Rules) To Grant Nasdaq Regulation the Same Authority as FINRA In Contested Disciplinary Proceedings To Serve Complaints and Memoranda of Authority
    Type:Notice
    Citation:89 FR 106689
    Reading Time:about 13 minutes

    The Nasdaq Stock Market LLC has proposed a rule change to the Securities and Exchange Commission that would allow it to take over the responsibility from the Financial Industry Regulatory Authority (FINRA) for litigating contested disciplinary proceedings related to Nasdaq-led investigations. This shift aims to improve the efficiency and speed of handling such cases by leveraging Nasdaq's expertise and avoiding the need for FINRA to get involved. Nasdaq also proposes changes to its rules to enable its regulation department to directly serve complaints and memoranda in disciplinary cases. The proposal does not alter the existing procedural protections and would still involve FINRA’s Office of Hearing Officers in administering the hearing process.

    Simple Explanation

    Nasdaq wants to take charge of handling its own rule-breaking cases instead of letting another group called FINRA do it, hoping it will make things quicker and smoother without changing any of the rules that keep the process fair. However, this change raises questions, like whether it will cost more money, how it will work with Nasdaq being both a market leader and rule enforcer, and if everything will still be as fair as before.