Click a link below to view the mailing archive as if it had been sent to you. . 2010-08-31 14:30 Jim Hamilton's World of Securities Regulation - Dodd-Frank Legislative History Reveals Great Importance of Treasury Study of GSEs. 2010-08-31 13:00 Jim ...
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Jim Hamiltons World of Securities Regulation Archive for August, 2010

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2010-08-31 14:30Jim Hamilton's World of Securities Regulation - Dodd-Frank Legislative History Reveals Great Importance of Treasury Study of GSEs
2010-08-31 13:00Jim Hamilton's World of Securities Regulation - SEC-CFTC Roundtable Highlights Lynch Issues of Control and Governance in Crafting Dodd-Frank Derivatives Regulations
2010-08-30 19:30Jim Hamilton's World of Securities Regulation - SEC-CFTC Roundtable on Dodd-Frank Derivatives Regulations Focuses on Governance and Risk Management
2010-08-30 15:00Jim Hamilton's World of Securities Regulation - Florida Adopts Review of Dealer, Issuer-Dealer, Associated Person and Investment Adviser Applicants' Law Enforcement Records
2010-08-30 11:30Jim Hamilton's World of Securities Regulation - SEC-CFTC Roundtable Illuminates Major Issues in Implementing Derivatives Provisions of Dodd-Frank
2010-08-29 13:00Jim Hamilton's World of Securities Regulation - Volcker Board Proposes Changes in Taxation of Investment Funds as Part of Reforming Federal Tax Code
2010-08-28 11:30Jim Hamilton's World of Securities Regulation - Keeping the Dream Alive
2010-08-27 13:30Jim Hamilton's World of Securities Regulation - Hong Kong Securities Regulator Calls for Internationally Harmonized Hedge Fund Regulation
2010-08-26 13:00Jim Hamilton's World of Securities Regulation - Dodd-Frank Volcker Provisions Sponsor Explains GSE Permission
2010-08-25 12:30Jim Hamilton's World of Securities Regulation - SEC Adopts Proxy Access for Significant Long-Term Shareholders
2010-08-24 13:00Jim Hamilton's World of Securities Regulation - 2 new articles
2010-08-22 20:00Jim Hamilton's World of Securities Regulation - SIFMA Provides Best Practices on Dodd-Frank Provision Requiring Broker Notification of Short-Sales
2010-08-20 13:00Jim Hamilton's World of Securities Regulation - 3 new articles
2010-08-19 14:30Jim Hamilton's World of Securities Regulation - Delaware Supreme Court Orders Defunct Hedge Fund to Provide Names and Addresses of Limited Partners to Fund Investor
2010-08-18 20:00Jim Hamilton's World of Securities Regulation - Key Senators Urge the SEC to Adopt Regulations Enhancing Off-Balance Sheet Disclosures
2010-08-17 20:00Jim Hamilton's World of Securities Regulation - Citing Express and Pervasive SEC Enforcement Powers, Ninth Circuit Rejects Implied Private Right of Action for Sec. 13(a) of Investment Company Act
2010-08-17 14:00Jim Hamilton's World of Securities Regulation - Legislative History Clarifies Dodd-Frank Derivatives End User Exemption
2010-08-17 12:00Jim Hamilton's World of Securities Regulation - Washington State Proposes Dodd-Frank Accredited Investor Definition
2010-08-16 20:00Jim Hamilton's World of Securities Regulation - Dodd-Frank Sets Process for SEC and CFTC to Resolve Jurisdictional Status of Novel Derivatives Products
2010-08-16 12:30Jim Hamilton's World of Securities Regulation - Senator Levin Explains Intent of Dodd-Frank Conflict of Interest Provision for Firms Profiting from Failure of Securities They Packaged
2010-08-15 15:00Jim Hamilton's World of Securities Regulation - Senator Lincoln Details Protections for Retail Commodities Customers in Dodd-Frank Act
2010-08-13 19:00Jim Hamilton's World of Securities Regulation - Senator Merkley Explains the Workings of Dodd-Frank Volcker Rule Banning Bank Sponsoring of Hedge Funds
2010-08-13 11:00Jim Hamilton's World of Securities Regulation - Iowa Proposes Broker-Dealer, Agent and Investment Company Rule Changes
2010-08-12 19:30Jim Hamilton's World of Securities Regulation - Legislation Would Narrow SEC Dodd-Frank FOIA Exemption as Key Senators Urge SEC to Act
2010-08-11 19:30Jim Hamilton's World of Securities Regulation - Sen. Merckley Explains Limited Prime Brokerage Exception to Dodd-Frank Volcker Provisions
2010-08-10 20:00Jim Hamilton's World of Securities Regulation - Hagan-Lincoln Colloquy Advises SEC and CFTC in Defining Major Swap and Security-Based Swap Participants
2010-08-10 19:30Jim Hamilton's World of Securities Regulation - Dodd-Lincoln Colloquy Reveals Equal Treatment for Branches of Foreign Banks under Bank Swap Push Out Provisions
2010-08-10 14:30Jim Hamilton's World of Securities Regulation - UK Appeals Court Says Hedge Funds' Client Money in Lehman Should Be Pooled Equally
2010-08-09 19:30Jim Hamilton's World of Securities Regulation - NYSE Will Seek to Amend Rule 452 in Light of Dodd-Frank Provision
2010-08-09 12:00Jim Hamilton's World of Securities Regulation - SEC Upholds PCAOB Revocation of Audit Firm's Registration for Failure to Produce Records
2010-08-08 16:00Jim Hamilton's World of Securities Regulation - IAASB Proposes Revision of Audit Standard on Use of Internal Audit by the Outside Audit Firm
2010-08-07 16:30Jim Hamilton's World of Securities Regulation - Senator Lincoln Explains How Position Limits Work in Derivatives Provisions of Dodd-Frank
2010-08-06 18:30Jim Hamilton's World of Securities Regulation - SEC Chair Schapiro Asks for Recommendations in Filling PCAOB Seats
2010-08-05 20:30Jim Hamilton's World of Securities Regulation - Sen. Dodd Concerned About Global Regulatory Arbitrage, Particularly in Derivatives Area
2010-08-05 15:00Jim Hamilton's World of Securities Regulation - Key Senators Advise SEC and Fed on Implementation of Volcker Provisions of Dodd-Frank
2010-08-05 09:30Jim Hamilton's World of Securities Regulation - Oregon First State to Propose Change to Accommodate Dodd-Frank
2010-08-04 18:30Jim Hamilton's World of Securities Regulation - Senior SEC Official Details Dodd-Frank Rulemaking Efforts, Particularly with CFTC On Derivatives
2010-08-04 12:00Jim Hamilton's World of Securities Regulation - Oregon Adopts Fee Increases for UITs, BDs and Salespersons
2010-08-03 20:00Jim Hamilton's World of Securities Regulation - Sir David Walker Espouses Board Risk Committees and Involvement of Institutional Investors
2010-08-02 19:30Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Has Concerns with Proposed PCAOB Auditor-Audit Committee Communications Standard
2010-08-01 14:30Jim Hamilton's World of Securities Regulation - Key Senator Concerned About SEC-FOIA Provision in Dodd-Frank, SEC Chair Says Commission Will Provide Staff Guidance to Carry Out Intent of Congress

 

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