Click a link below to view the mailing archive as if it had been sent to you. . 2010-12-31 20:00 Jim Hamilton's World of Securities Regulation - Thirteen Senators Tell Fed of Concerns with Implementation of Dodd-Frank Interchange Fee Provisions. ...
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Jim Hamiltons World of Securities Regulation Archive for December, 2010

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2010-12-31 20:00Jim Hamilton's World of Securities Regulation - Thirteen Senators Tell Fed of Concerns with Implementation of Dodd-Frank Interchange Fee Provisions
2010-12-30 19:30Jim Hamilton's World of Securities Regulation - 2 new articles
2010-12-30 12:00Jim Hamilton's World of Securities Regulation - Former SEC Commissioners Urge Supreme Court to End Circuit Split and Apply Efficient Market Theory to Loss Causation Element of Rule 10b-5
2010-12-29 13:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Asks SEC to Require Fund Managers to Disclose Information on Say on Pay Only When They Instructed the Share Voting
2010-12-28 13:00Jim Hamilton's World of Securities Regulation - US Manufacturers Ask Supreme Court to Apply Efficient Market Theory to Loss Causation Element of Rule 10b-5
2010-12-27 12:30Jim Hamilton's World of Securities Regulation - Congress Amends Dodd-Frank to Provide Fix for Full FDIC Protection for Lawyer Trust Accounts
2010-12-26 15:00Jim Hamilton's World of Securities Regulation - In letter to SEC and Fed, Rep. Brad Miller Warns that Qualified Residential Mortgage Exception Could Swallow Dodd-Frank's 5% Skin in the Game Mandate
2010-12-24 16:30Jim Hamilton's World of Securities Regulation - Congress Passes Legislation Mandating Accountability and Performance at Federal Agencies
2010-12-23 19:00Jim Hamilton's World of Securities Regulation - Senior Global Regulators Report that Sound Corporate Governance Is Key to Effective Risk Appetite Framework for Firms
2010-12-23 16:30Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Says SEC Proposed Whistleblower Rules Could Undermine Corporate Compliance Programs
2010-12-22 20:00Jim Hamilton's World of Securities Regulation - President Signs Legislation Modernizing Federal Tax Code Treatment of SEC-Regulated Investment Companies
2010-12-22 15:00Jim Hamilton's World of Securities Regulation - Incoming Chair of House Oversight Subcommittee Might Introduce Legislation Delaying Dodd-Frank Regulations
2010-12-21 19:00Jim Hamilton's World of Securities Regulation - Law Professors Join SEC in Urging Supreme Court to Reject Bright Line Test for Rule 10b-5 Materiality
2010-12-21 16:00Jim Hamilton's World of Securities Regulation - SEC Censures Outside Auditor of NASDAQ Shell Company that Owned Mainland China Manufacturer
2010-12-19 13:30Jim Hamilton's World of Securities Regulation - Business Coalition Supports Chambliss-Corker Amendment to Nail Down Commercial End-User Exemption from Dodd-Frank Derivatives Mandate
2010-12-18 17:30Jim Hamilton's World of Securities Regulation - Rep. Bachus Hints at Legislation to Delay SEC-CFTC Implementation of Dodd-Frank Derivatives Regime as Concerns Grow
2010-12-18 13:30Jim Hamilton's World of Securities Regulation - Incoming Chair of House Capital Markets Subcommittee Wants to Reform GSEs and Create US Covered Bond Market
2010-12-17 14:00Jim Hamilton's World of Securities Regulation - State of Delaware Amicus Brief Says SEC Proxy Access Rule Runs Afoul of Principles of Stockholder Choice and Private Ordering
2010-12-16 20:30Jim Hamilton's World of Securities Regulation - Mutual Fund Industry Opposes Applying SEC Proxy Access Rule to Funds
2010-12-16 14:00Jim Hamilton's World of Securities Regulation - Mutual Fund Industry Strongly Supports Legislation Modernizing Federal Tax Code Treatment of Funds
2010-12-16 12:00Jim Hamilton's World of Securities Regulation - Nebraska No-Action Letter Interprets "Institutional Buyer" Definition
2010-12-16 08:00Jim Hamilton's World of Securities Regulation - Congress Passes Legislation Modernizing Federal Tax Code Treatment of SEC-Regulated Investment Companies
2010-12-15 13:00Jim Hamilton's World of Securities Regulation - CALIFORNIA Amends Corporation Code
2010-12-14 17:30Jim Hamilton's World of Securities Regulation - Tennessee Sets Forth Form ADV New Part 2 Filing Procedures
2010-12-14 14:30Jim Hamilton's World of Securities Regulation - NASAA Requests Comments on Model Rule on Private Fund Adviser Registration and Exemption
2010-12-14 13:00Jim Hamilton's World of Securities Regulation - Senate Passes Legislation Modernizing Federal Tax Code Treatment of SEC-Regulated Investment Companies
2010-12-13 20:00Jim Hamilton's World of Securities Regulation - Comments to EU Corporate Governance Proposals Emphasize Strong Board Risk Committees and Chief Risk Officer
2010-12-13 17:30Jim Hamilton's World of Securities Regulation - Sen. Warner Drafting Legislation Mandating Regulatory Pay as You Go
2010-12-13 14:00Jim Hamilton's World of Securities Regulation - Federal Appeals Court Overturns Conviction of CFO for Lying to the Company's Independent Auditors
2010-12-11 16:00Jim Hamilton's World of Securities Regulation - Hong Kong Appeals Court Will Not Allow Criminal Law Principles to Be Imported into SFC Disciplinary Proceedings
2010-12-11 14:30Jim Hamilton's World of Securities Regulation - Securities and Futures Associations Ask the SEC and CFTC to Extend Comment Periods on Proposed Regulations Implementing Dodd-Frank Derivatives Regime
2010-12-11 14:00Jim Hamilton's World of Securities Regulation - President Obama Will Begin ``Conversation'' with Congress Next Year to Overhaul the Federal Tax Code
2010-12-10 23:30Jim Hamilton's World of Securities Regulation - CAQ Urges Caution with European Commission Proposals to Reform the Financial Statement Audit Process
2010-12-10 21:30Jim Hamilton's World of Securities Regulation - In Letter to SEC, Senator Cardin Clarifies Legislative Intent behind Dodd-Frank Provision Requiring Disclosure by Resource Extraction Companies
2010-12-10 14:30Jim Hamilton's World of Securities Regulation - UK Legislation Would Impose Responsibility Tax on Financial Institutions
2010-12-10 13:30Jim Hamilton's World of Securities Regulation - SEC Senior Official Advises Audit Firms on When to Seek Interim Commission Review of PCAOB Inspection Reports
2010-12-10 11:30Jim Hamilton's World of Securities Regulation - Hong Kong Will Require Central Clearing and Trade Repositories for OTC Derivatives
2010-12-09 12:00Jim Hamilton's World of Securities Regulation - SEC and CFTC Receive Funding Increase in House Resolution to Help Them Carry Out Dodd-Frank Mandates
2010-12-08 18:30Jim Hamilton's World of Securities Regulation - European Commission Proposes Changes to MiFID to Require Exchange or Electronic Platform Trading of OTC Derivatives
2010-12-08 11:30Jim Hamilton's World of Securities Regulation - NASAA Defends Ninth Circuit's Ruling on Pleading Scienter
2010-12-07 18:30Jim Hamilton's World of Securities Regulation - Supreme Court Oral Argument in Fund Adviser Attribution Case Explores the Unique Fund-Adviser Relationship
2010-12-07 12:00Jim Hamilton's World of Securities Regulation - Montana Delays Class Filing Requirement for Investment Companies
2010-12-07 10:30Jim Hamilton's World of Securities Regulation - South Dakota Adopts Reg. D and Other Exemption, Registration Changes
2010-12-07 10:00Jim Hamilton's World of Securities Regulation - NASAA Supports Private Actions Against Fund Advisers
2010-12-06 20:00Jim Hamilton's World of Securities Regulation - UK Parliamentary Committee Hears Testimony on Audit Concentration and Joint Audits from the Big Four
2010-12-06 17:00Jim Hamilton's World of Securities Regulation - House Legislation Would Require State and Local Governments to Report on Pension Plans or Lose Ability to Sell Federally Tax Exempt Bonds
2010-12-06 08:00Jim Hamilton's World of Securities Regulation - CAQ Amicus Brief Says that Supreme Court Case on Attributing Funds' Statements to Investment Adviser Has Great Impact on Outside Auditor Community
2010-12-05 14:30Jim Hamilton's World of Securities Regulation - Business Groups' Brief Attacks SEC's Adoption of Proxy Access Rule as Fundamentally Flawed and Unconstitutional
2010-12-05 13:00Jim Hamilton's World of Securities Regulation - Reacting to Fiscal Commission Report, Fourteen Democratic Senators Urge Overhaul of Federal Tax Code in Letter to President
2010-12-03 18:30Jim Hamilton's World of Securities Regulation - California Invites Public Comments on Investment Adviser Rule Proposals
2010-12-03 18:00Jim Hamilton's World of Securities Regulation - SEC Proposed Definition of Security-Based Swap Participant Exempts Commercial End Users in Spirit of Dodd-Frank Legislative History
2010-12-03 16:00Jim Hamilton's World of Securities Regulation - New Mexico Eliminates Form U-2 Requirement From Rule 506 Filings
2010-12-03 12:30Jim Hamilton's World of Securities Regulation - Citing Budgetary Concerns, SEC Puts on Hold the Whistleblower Office and other new Offices Mandated by Dodd-Frank
2010-12-02 21:00Jim Hamilton's World of Securities Regulation - Delaware Supreme Court Rules Invalid Corporate By-Law Prematurely Shortening Terms of Directors on Staggered Board
2010-12-02 14:00Jim Hamilton's World of Securities Regulation - Fiscal Reform Commission Calls for Elimination of LIFO Accounting as Part of Complete Overhaul of Federal Tax Code
2010-12-01 14:00Jim Hamilton's World of Securities Regulation - Council of Institutional Investors Advises Shareholders to Engage on Dodd-Frank Say on Pay

 

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