Click a link below to view the mailing archive as if it had been sent to you. . 2011-01-31 16:30 Jim Hamilton's World of Securities Regulation - 3 new articles. 2011-01-28 19:30 Jim Hamilton's World of Securities Regulation - Chairman Bachus Asks SEC ...
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Jim Hamiltons World of Securities Regulation Archive for January, 2011

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2011-01-31 16:30Jim Hamilton's World of Securities Regulation - 3 new articles
2011-01-28 19:30Jim Hamilton's World of Securities Regulation - Chairman Bachus Asks SEC and CFTC How Much Dodd-Frank Regulations Will Cost
2011-01-28 14:30Jim Hamilton's World of Securities Regulation - Shareholder Cannot Maintain Derivative and Federal Securities Fraud Actions Simultaneously against Same Company
2011-01-27 20:30Jim Hamilton's World of Securities Regulation - SEC Defers Creation of Dodd-Frank Mandated Investor Advisory Committee
2011-01-27 17:00Jim Hamilton's World of Securities Regulation - Hong Kong Courts Support SFC's Corporate Governance Actions
2011-01-27 15:00Jim Hamilton's World of Securities Regulation - GAO Dodd-Frank Mandated Study on Financial Planners Sees No Need for More Regulation; But Identifies Consumer Issues
2011-01-27 12:30Jim Hamilton's World of Securities Regulation - House Bill Would Apply FOIA to Government-Sponsored Enterprises
2011-01-27 12:00Jim Hamilton's World of Securities Regulation - SEC Staff Study Mandated by Dodd-Frank Recommends Enhancing Investor Access to Data on Brokers and Advisers
2011-01-26 19:00Jim Hamilton's World of Securities Regulation - SEC and CFTC Propose Joint Form for Hedge Fund Advisers and CPOs to Report Systemic Risk Information
2011-01-26 16:30Jim Hamilton's World of Securities Regulation - Key Witness Urges Congress to Fund SEC to Properly Implement the Dodd-Frank Act, While Urging Legislative Changes to D-F
2011-01-25 14:30Jim Hamilton's World of Securities Regulation - New FASB Chair Reaffirms Commitment to Global Accounting Standards and Supports SEC Financial Reporting Roundtables
2011-01-25 13:00Jim Hamilton's World of Securities Regulation - Hedge Funds Cannot Bring Rule 10b-5 Action in US Federal Court Based on Swap Agreements Referencing Stock of German Company
2011-01-25 12:30Jim Hamilton's World of Securities Regulation - Washington State Accredited Investor Definition Further Excludes Indebtedness Secured by Primary Residence
2011-01-25 10:30Jim Hamilton's World of Securities Regulation - Japan FSA Extends Restrictions on Short Selling Until End of April
2011-01-24 19:30Jim Hamilton's World of Securities Regulation - European Commission Declares US and Nine Other non-EU Countries Equivalent for Inspections of Auditors
2011-01-24 17:30Jim Hamilton's World of Securities Regulation - UK Commission Considers Volcker-Type Structural Reforms for UK Financial Institutions
2011-01-24 12:30Jim Hamilton's World of Securities Regulation - SEC Study Mandated by Dodd-Frank Recommends Uniform Federal Fiduciary Standard for Brokers and Advisers; Divided Commission Sends Study to Congress
2011-01-23 13:30Jim Hamilton's World of Securities Regulation - Treasury and Fed Respond to Chairman Bachus' Request for Information on new Bureau of Consumer Financial Protection
2011-01-22 16:30Jim Hamilton's World of Securities Regulation - SEC Enforcement Action Alleges that Senior Officers Misled Outside Auditors in Revenue Recognition Scheme
2011-01-21 17:30Jim Hamilton's World of Securities Regulation - Dodd-Frank Mandated SEC Study Offers Congress Choice of Users Fees or SROs to Enhance Investment Adviser Oversight
2011-01-21 12:00Jim Hamilton's World of Securities Regulation - Subprime-Fueled Financial Crisis Was Intervening Cause of Investors' Loss Thereby Precluding Rule 10b-5 Recovery
2011-01-20 16:30Jim Hamilton's World of Securities Regulation - Texas Proposes Form D Electronic Filing, Accredited Investor Definitions and IA Part 2 of Form ADV Requirement
2011-01-20 16:00Jim Hamilton's World of Securities Regulation - SEC Brief Defends Proxy Access Rule against Challenge in Federal Appeals Court
2011-01-20 11:00Jim Hamilton's World of Securities Regulation - In Letter to President, Banking Industry Seeks Increase in SEC 500-Shareholder Test and Repeal of Dodd-Frank Interchange Fee
2011-01-19 16:00Jim Hamilton's World of Securities Regulation - NASAA Concurs With GAO Financial Planner Study
2011-01-19 15:00Jim Hamilton's World of Securities Regulation - FSOC Study Begins the Regulatory Implementation of Dodd-Frank Volcker Provisions
2011-01-18 18:30Jim Hamilton's World of Securities Regulation - House Leader Plans Legislation to Bring Budget of Bureau of Consumer Financial Protection under Congressional Appropriations Process
2011-01-18 13:00Jim Hamilton's World of Securities Regulation - NASAA Opens Registration for 26th Annual Public Policy Conference
2011-01-18 12:30Jim Hamilton's World of Securities Regulation - At SEC's Request, Supreme Court Will Review Loss Causation Element of Rule 10b-5 in Class Certification Context
2011-01-18 11:30Jim Hamilton's World of Securities Regulation - President Obama Orders Review to Identify and Repeal Outmoded and Burdensome Federal Regulations
2011-01-17 20:00Jim Hamilton's World of Securities Regulation - Global Hedge Fund Association Comments on Implementing EU Hedge Fund Legislation
2011-01-17 07:30Jim Hamilton's World of Securities Regulation - The Warmth of Their Own Suns Can Shine Because of Dr. King
2011-01-15 17:00Jim Hamilton's World of Securities Regulation - UK FRC Proposes Expanded Independent Audit Reports as Part of Broad Reform of Financial Reporting
2011-01-14 18:30Jim Hamilton's World of Securities Regulation - Department of Labor Working with Federal Financial Agencies to Set Up Dodd-Frank Mandated Office
2011-01-14 01:00Jim Hamilton's World of Securities Regulation - Eight Senators Ask CFTC to Use Dodd-Frank Powers to Reduce Commodities Speculation
2011-01-13 10:30Jim Hamilton's World of Securities Regulation - Eight Senators Ask CFTC to Use Dodd-Frank Powers to Reduce Commodities Speculation
2011-01-11 21:00Jim Hamilton's World of Securities Regulation - Business Judgment Rule Protects Equity Incentive Plan for Directors from Shareholder Challenge
2011-01-11 18:00Jim Hamilton's World of Securities Regulation - Delaware Adopts Amendments to Limited Offering/Reg D Exemptions and Administrative Hearing, Investigation and Division Organization/Function Rules
2011-01-11 17:00Jim Hamilton's World of Securities Regulation - European Commission Proposes Liquidation Authority for Financial Firms Similar to Dodd-Frank Title II
2011-01-10 20:00Jim Hamilton's World of Securities Regulation - 2 new articles
2011-01-10 15:30Jim Hamilton's World of Securities Regulation - Supreme Court Oral Argument in Materiality Case Discusses Deference Due to SEC
2011-01-10 14:00Jim Hamilton's World of Securities Regulation - SEC Proposed Antifraud Rule for Security-Based Swaps Exceeds Dodd-Frank's Authorization Says Hedge Fund Association
2011-01-08 15:30Jim Hamilton's World of Securities Regulation - SEC Proposals Implementing Dodd-Frank Hedge Fund Mandates Provide Important Clarifications for Foreign Fund Exemptions
2011-01-07 18:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Asks CFTC for Guidance in Regulations Prohibiting Disruptive Trading Practices under Dodd-Frank
2011-01-06 15:30Jim Hamilton's World of Securities Regulation - Missouri Proposes Aligning Rule 505 and 506 notice filing requirements with electronic Form D
2011-01-06 13:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Urges SEC and CFTC to Find a Market Solution to Uniform Description Standards for Financial Derivatives
2011-01-06 11:30Jim Hamilton's World of Securities Regulation - Directors Cannot Adopt Bylaw Making Delaware Chancery Court Exclusive Venue for Derivative Actions
2011-01-06 10:30Jim Hamilton's World of Securities Regulation - Washington State Adopts Dodd-Frank Accredited Investor Definition
2011-01-06 10:00Jim Hamilton's World of Securities Regulation - Hawaii Temporary Reduced Fees Remain in Place in 2011
2011-01-05 19:00Jim Hamilton's World of Securities Regulation - In Letter to SEC, Hedge Fund Industry Opposes SRO for Investment Advisers
2011-01-05 14:30Jim Hamilton's World of Securities Regulation - SEC Asks Supreme Court to Decide the Status of Rule 10b-5 Loss Causation at Class Certification Stage
2011-01-04 19:30Jim Hamilton's World of Securities Regulation - Japan FSA Sets Out Reform Plan to Enhance Investments and Entice Foreign Capital
2011-01-04 14:30Jim Hamilton's World of Securities Regulation - German Legislation Implements UCITS IV Directive for Mutual Funds; Tax Changes Also Made
2011-01-04 14:00Jim Hamilton's World of Securities Regulation - New EU Regulatory Framework for Securities and Banking Begins Operating in 2011
2011-01-04 11:00Jim Hamilton's World of Securities Regulation - CAQ Urges SEC to Completely Exclude Outside Auditors from Dodd-Frank Whistleblower Awards
2011-01-04 09:30Jim Hamilton's World of Securities Regulation - NASAA Objects to Outsourcing Adviser Regulation to SROs
2011-01-03 16:30Jim Hamilton's World of Securities Regulation - SEC Approves PCAOB Risk Assessment Standards and Deflects General Attack on PCAOB Standard-Setting
2011-01-03 12:30Jim Hamilton's World of Securities Regulation - Dutch Corporate Governance Monitor Says Supreme Court Ruling on Shareholder-Board Relations Calmed the Waters
2011-01-03 09:00Jim Hamilton's World of Securities Regulation - NASAA Opposes Additional Exams for Advisory Personnel
2011-01-02 21:00Jim Hamilton's World of Securities Regulation - Senator Durbin Defends Dodd-Frank Intercharge Fee Provisions as Concerns over Sec. 1075 Mount
2011-01-02 14:00Jim Hamilton's World of Securities Regulation - Revised UK Corporate Governance Code Mandates Risk Management But Declines to Require Risk Committees
2011-01-01 16:30Jim Hamilton's World of Securities Regulation - Audit Firms Urge SEC Not to Extend 404(b) Exemption Beyond Dodd-Frank Relief for Companies with up to $75 Million Float

 

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