Click a link below to view the mailing archive as if it had been sent to you. . 2010-10-31 13:00 Jim Hamilton's World of Securities Regulation - Presidential Assistant Warren Pledges Transparency and Tough Enforcement for new Bureau of Consumer ...
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Jim Hamiltons World of Securities Regulation Archive for October, 2010

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2010-10-31 13:00Jim Hamilton's World of Securities Regulation - Presidential Assistant Warren Pledges Transparency and Tough Enforcement for new Bureau of Consumer Financial Protection
2010-10-29 21:30Jim Hamilton's World of Securities Regulation - EU Commissioner Barnier Sees No Point in Converged Capital Requirements If Accounting Standards Not Converged
2010-10-29 18:00Jim Hamilton's World of Securities Regulation - Corporate Counsel Say That Proposed Changes to FASB Standard on Loss Contingencies Could Harm Auditor Relationship
2010-10-29 12:30Jim Hamilton's World of Securities Regulation - Alaska Sets Schedule for IAs Filing Form ADV Part 2
2010-10-29 12:00Jim Hamilton's World of Securities Regulation - Eighteen Senators Urge SEC to Adopt Strong Dodd-Frank Volcker Regulations
2010-10-28 19:00Jim Hamilton's World of Securities Regulation - American Securitization Forum Urges SEC Not to Take Broad Reading of Material Conflict of Interest When Crafting Volcker Provision Regulations
2010-10-28 12:00Jim Hamilton's World of Securities Regulation - EU Commissioner Barnier Links More Board Involvement to Sound Corporate Governance
2010-10-27 20:30Jim Hamilton's World of Securities Regulation - UK Audit Overseer Says Market Forces Alone Will Not Move Auditor Choice Beyond the Big Four
2010-10-27 13:30Jim Hamilton's World of Securities Regulation - 2 new articles
2010-10-26 15:30Jim Hamilton's World of Securities Regulation - Hawaii Nonsubstantively Amends Dealer Waiver of Annual Report of Condition
2010-10-26 14:30Jim Hamilton's World of Securities Regulation - EU Reaches Compromise on Legislation Regulating Hedge Funds, Final Vote in Parliament Set for Early November
2010-10-26 11:00Jim Hamilton's World of Securities Regulation - Maine Adopts New Form ADV Part 2 for IAs in 2011
2010-10-25 10:30Jim Hamilton's World of Securities Regulation - KPMG Survey Finds that New IRS Uncertain Tax Position Disclosure Regime Could Create Tension with Outside Auditor
2010-10-24 19:00Jim Hamilton's World of Securities Regulation - Comments on SEC Proxy Voting Concept Release Explore Regulation of Proxy Advisory Firms, New Dodd-Frank Mandates Heighten Concern
2010-10-22 21:30Jim Hamilton's World of Securities Regulation - IRS Expands Policy of Restraint in Discovering Tax Accrual Work Papers Used In Preparing Financial Statements
2010-10-22 20:30Jim Hamilton's World of Securities Regulation - President's Working Group Proposed Reform of Money Market Fund Regulation Would Require SEC Rulemaking and Legislation
2010-10-22 14:30Jim Hamilton's World of Securities Regulation - Basel Committee Issues Corporate Governance Principles, Strong Role Seen for Internal and External Audit
2010-10-22 13:30Jim Hamilton's World of Securities Regulation - Adoption of Poison Pill to Protect Net Operating Loss Carryforwards Protected by Business Judgment Rule
2010-10-21 17:00Jim Hamilton's World of Securities Regulation - House Passes Investment Company Taxation Reform Legislation
2010-10-21 09:30Jim Hamilton's World of Securities Regulation - Massachusetts Set Time-Table for Mandating New Part 2 of Form ADV
2010-10-20 16:00Jim Hamilton's World of Securities Regulation - Montana Mandates Investment Company Filings at the Class Level
2010-10-20 11:00Jim Hamilton's World of Securities Regulation - New Mexico Proposes Eliminating Form U-2 from Rule 506 Notice Filing Requirement
2010-10-19 20:00Jim Hamilton's World of Securities Regulation - Congress, Not IRS, Must Provide Tax Relief from Flash Crash
2010-10-19 18:00Jim Hamilton's World of Securities Regulation - Hong Kong Appeals Court Upholds Insider Dealing Convictions
2010-10-18 15:00Jim Hamilton's World of Securities Regulation - SEC Seeks Public Comment as Agency Conducts Dodd-Frank Mandated Study of Impact of 404(b) of Sarbanes-Oxley
2010-10-18 13:30Jim Hamilton's World of Securities Regulation - IOSCO Forms Task Force to Globally Coordinate Derivatives Regulation, With SEC and CFTC in Lead Roles
2010-10-17 17:00Jim Hamilton's World of Securities Regulation - PCAOB Advisory Group Examines Failure to Supervise and Professional Judgment Issues
2010-10-16 22:00Jim Hamilton's World of Securities Regulation - UK FSA Senior Official Describes Impact of Remuneration Code on Hedge Funds
2010-10-16 21:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Requests Exemptions for Fund Advisers from Proposed UK Remuneration Code
2010-10-16 18:00Jim Hamilton's World of Securities Regulation - Latest EU Draft Legislation on Hedge Fund Regulation Sets Up Transitional Dual System for Marketing US Hedge Funds
2010-10-15 21:00Jim Hamilton's World of Securities Regulation - SEC Proposes Regulation Controlling Conflicts of Interest in Swap Clearing and Execution Facilities
2010-10-14 18:30Jim Hamilton's World of Securities Regulation - Former SEC Chair Rod Hills Asks Commission to Create Safe Harbor for Auditor Professional Judgments
2010-10-14 17:00Jim Hamilton's World of Securities Regulation - European Commission Gives Policymakers Choices on Financial Sector Taxes
2010-10-13 20:30Jim Hamilton's World of Securities Regulation - Senator Dodd Defends Placing the Bureau of Consumer Financial Protection in the Fed
2010-10-13 18:30Jim Hamilton's World of Securities Regulation - European Commission Proposes Major Reforms of Outside Audits of Company Financial Statements
2010-10-13 13:30Jim Hamilton's World of Securities Regulation - Hoogenvorst Will Replace Tweedie as IASB Chair
2010-10-13 11:30Jim Hamilton's World of Securities Regulation - West Virginia Policy Reiterates Fee Required to Amend Form NF
2010-10-12 12:00Jim Hamilton's World of Securities Regulation - FDIC Proposes Rules under Title II of Dodd-Frank Allowing Different Treatment for Essential Creditors
2010-10-11 16:00Jim Hamilton's World of Securities Regulation - Maryland Sets Time-Table for Mandatory Filing of Part 2 of Form ADV
2010-10-08 18:00Jim Hamilton's World of Securities Regulation - Indiana Sets Timetable for Mandating New Form ADV Part 2
2010-10-07 13:00Jim Hamilton's World of Securities Regulation - California Proposed Rule Excluding Associated Persons from BD Definition Further Revised
2010-10-07 00:30Jim Hamilton's World of Securities Regulation - President Obama Signs Legislation Restricting SEC Dodd-Frank FOIA Exemptions
2010-10-06 16:30Jim Hamilton's World of Securities Regulation - South Dakota Proposes Reg. D and Other Exemption, Registration Changes
2010-10-06 12:00Jim Hamilton's World of Securities Regulation - Florida Aligns Advertising Rule with FINRA Rule 2210
2010-10-06 05:30Jim Hamilton's World of Securities Regulation - NYSE Corporate Governance Principles Detail Important Role for SEC
2010-10-05 23:30Jim Hamilton's World of Securities Regulation - DC Circuit Court Panel's Deloitte Ruling Not Appealed to Supreme Court
2010-10-05 23:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Urges SEC-CFTC Rulemaking to Limit Breadth of Dodd-Frank Swap Dealer Definition
2010-10-05 16:30Jim Hamilton's World of Securities Regulation - UK FSA Chief Says Regulation of Corporate Culture Part of Sound Governance
2010-10-05 12:00Jim Hamilton's World of Securities Regulation - SEC Delays Proxy Access Rule Pending Judicial Review
2010-10-05 00:00Jim Hamilton's World of Securities Regulation - SIPA Reform Effort Must Include Cross-Border Insolvencies
2010-10-04 15:30Jim Hamilton's World of Securities Regulation - Financial Stability Oversight Council Begins Work of Identifying Systemically Important Financial Firms
2010-10-03 16:30Jim Hamilton's World of Securities Regulation - Bi-Partisan Support Growing for Legislation Creating US Covered Bond Market
2010-10-02 20:00Jim Hamilton's World of Securities Regulation - Senate Banking Chair Sees Covered Bond Market as Alternative to Securitization
2010-10-01 08:00Jim Hamilton's World of Securities Regulation - Member of SIPC Task Force Sees Flaws in SIPA Reform Legislation

 

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