Click a link below to view the mailing archive as if it had been sent to you. . 2010-09-30 22:00 Jim Hamilton's World of Securities Regulation - Business Groups Challenge SEC Proxy Access Rule in Federal Appeals Court. 2010-09-29 16:00 Jim Hamilton's ...
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Jim Hamiltons World of Securities Regulation Archive for September, 2010

Click a link below to view the mailing archive as if it had been sent to you.

2010-09-30 22:00Jim Hamilton's World of Securities Regulation - Business Groups Challenge SEC Proxy Access Rule in Federal Appeals Court
2010-09-29 16:00Jim Hamilton's World of Securities Regulation - Rep. Kanjorski Says Expand SIPA to Customers of Investment Advisers as SIPC Task Force Prepares Legislative Recommendations
2010-09-28 17:00Jim Hamilton's World of Securities Regulation - A federal judge (SD NY) has ruled that a...
2010-09-28 07:00Jim Hamilton's World of Securities Regulation - European Parliament Approves Legislation Creating New EU-Wide Financial Regulatory Regime
2010-09-28 01:00Jim Hamilton's World of Securities Regulation - Fifth Circuit Reinstates SEC Insider Trading PIPE-Related Enforcement Action
2010-09-27 21:00Jim Hamilton's World of Securities Regulation - SEC Issues Guidance on Dodd-Frank Authorization of PCAOB Oversight of Auditors of Brokers
2010-09-24 17:30Jim Hamilton's World of Securities Regulation - PCAOB Asks Congress to Make Disciplinary Proceedings Public
2010-09-24 00:00Jim Hamilton's World of Securities Regulation - Singapore High Court Examines Shareholder Right to Company Accounting Records
2010-09-23 22:30Jim Hamilton's World of Securities Regulation - Congress Clears Legislation on SEC Dodd-Frank FOIA Exemptions for President's Signature
2010-09-23 11:00Jim Hamilton's World of Securities Regulation - New NASAA President to Represent States on the Financial Stability Oversight Council
2010-09-23 01:00Jim Hamilton's World of Securities Regulation - Senate Passes Legislation Eliminating SEC Dodd-Frank FOIA Exemptions and Broadening Definition of Financial Institution
2010-09-23 00:00Jim Hamilton's World of Securities Regulation - FDIC Says US Covered Bond Legislation Falls Short on Key Principles
2010-09-22 00:00Jim Hamilton's World of Securities Regulation - Securities Industry Supports SEC FOIA Exemption in Dodd-Frank Against Legislative Assault
2010-09-21 12:00Jim Hamilton's World of Securities Regulation - Indiana Summarizes Each U.S.A. Provision
2010-09-21 04:30Jim Hamilton's World of Securities Regulation - Baucus Extenders Legislation Would Reform Hedge Fund Managers Carried Interest
2010-09-21 00:00Jim Hamilton's World of Securities Regulation - Current and Former SEC Chairs Defend Commission's FOIA Exemption in Dodd-Frank
2010-09-17 23:00Jim Hamilton's World of Securities Regulation - Leahy Legislation Repealing SEC Dodd-Frank FOIA Exemptions Reported Out of Judiciary Committee
2010-09-15 20:30Jim Hamilton's World of Securities Regulation - SEC Adopts Rule on SOX 404(c) Exemption for Small Issuers
2010-09-15 20:00Jim Hamilton's World of Securities Regulation - European Commission Proposes Derivatives Legislation Broadly Consistent with Dodd-Frank Act
2010-09-15 12:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Generally Supports SEC Proposals on Single Stock Circuit Breakers
2010-09-14 13:30Jim Hamilton's World of Securities Regulation - Senator Hagan Explains Volcker Provisions of Dodd-Frank Act
2010-09-13 20:00Jim Hamilton's World of Securities Regulation - US Hedge Fund Industry Supports EU Legislative Draft for Derivatives Regulation
2010-09-13 15:30Jim Hamilton's World of Securities Regulation - IASB Proposes Change to Standard on Accounting for Income Tax Against Backdrop of Broad IASB-FASB Review of Tax Accounting Standards
2010-09-13 14:00Jim Hamilton's World of Securities Regulation - There is Growing Int'l Consensus Among Audit Committees on the High Value of Outside Auditors
2010-09-11 18:30Jim Hamilton's World of Securities Regulation - Legislation Requiring Proxy Disclosure of Company's Political Donations Reported Out to House Floor
2010-09-11 17:00Jim Hamilton's World of Securities Regulation - Legislation Moving Through Congress Would Create US Covered Bond Market
2010-09-09 17:30Jim Hamilton's World of Securities Regulation - Wisconsin Adopts Rule Changes for Annual Rules Revision
2010-09-09 14:30Jim Hamilton's World of Securities Regulation - Senator Dodd Explains that SEC Ombudsman's Mandated List of Duties in Dodd-Frank Is Not Exhaustive
2010-09-09 13:00Jim Hamilton's World of Securities Regulation - UTAH Updates Stock Exchange Names
2010-09-07 14:00Jim Hamilton's World of Securities Regulation - Sen. Dodd Describes Dodd-Frank Mandated SEC Study on Broker and Adviser Standard of Care
2010-09-06 18:30Jim Hamilton's World of Securities Regulation - SEC and CFTC Chairs Participate in FDIC Roundtable on Dodd-Frank Resolution Authority Title
2010-09-06 11:00Jim Hamilton's World of Securities Regulation - Legislative History Cautions FDIC on Taking Lien on Insurance Company under Dodd-Frank Liquidation Authority
2010-09-05 16:00Jim Hamilton's World of Securities Regulation - UK Regulators Move to More Deeply Embed Auditors in Prudential Regulation, Professional Skepticism Targeted
2010-09-04 18:30Jim Hamilton's World of Securities Regulation - European Commission Gives Green Light to Exchange of Audit Working Papers with PCAOB
2010-09-04 15:00Jim Hamilton's World of Securities Regulation - EU Reaches Deal on New Supervisory Authorities for Securities and Banking and Systemic Risk Board as part of New Regulatory Regime
2010-09-03 15:30Jim Hamilton's World of Securities Regulation - Oregon Temporarily Adopts Dodd-Frank "Accredited Investor" Definition
2010-09-03 15:00Jim Hamilton's World of Securities Regulation - California To Mandate SEC's Newly Adopted Part 2 of Form ADV for IAs in 2011
2010-09-02 20:30Jim Hamilton's World of Securities Regulation - SIFMA Comments to SEC on Dodd-Frank Uniform Fiduciary Standard for Brokers and Advisers
2010-09-02 12:30Jim Hamilton's World of Securities Regulation - SEC Cautions Rating Agencies That It Will Use Enhanced Extraterritorial Jurisdiction Given by Dodd-Frank
2010-09-01 14:30Jim Hamilton's World of Securities Regulation - SEC and CFTC Consider if Lynch-Type Ownership Caps Can Mitigate Conflicts of Interest

 

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