Click a link below to view the mailing archive as if it had been sent to you. . 2011-03-31 19:30 Jim Hamilton's World of Securities Regulation - Companion Legislation to Reform GSEs Introduced in the Senate. 2011-03-31 18:00 Jim Hamilton's World of ...
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Jim Hamiltons World of Securities Regulation Archive for March, 2011

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2011-03-31 19:30Jim Hamilton's World of Securities Regulation - Companion Legislation to Reform GSEs Introduced in the Senate
2011-03-31 18:00Jim Hamilton's World of Securities Regulation - SEC Proposals Would Implement Dodd-Frank Mandates on Independent Compensation Committees and Compensation Consultants
2011-03-31 14:00Jim Hamilton's World of Securities Regulation - SIGTARP Tells Congress that Dodd-Frank Did Not End Market Perception that Systemically Risky Financial Institutions Are Too Big to Fail
2011-03-31 09:30Jim Hamilton's World of Securities Regulation - House Ag Chair Says CFTC Interpretations of Dodd-Frank Derivatives Exemptions Are Too Narrow
2011-03-30 21:00Jim Hamilton's World of Securities Regulation - IOSCO Issues Key Principles on Point of Sale Disclosure
2011-03-30 19:00Jim Hamilton's World of Securities Regulation - In Letter to SEC, House Oversight Chair Questions Efficacy of Capital Formation Regulation
2011-03-30 13:30Jim Hamilton's World of Securities Regulation - 3 new articles
2011-03-29 21:00Jim Hamilton's World of Securities Regulation - House Committee Unveils Eight Pieces of Legislation to Reform GSEs
2011-03-29 13:30Jim Hamilton's World of Securities Regulation - SEC and Banking Agencies Set to Propose Dodd-Frank Risk Retention Regulations with 5 Percent Benchmark and Conservative QRM Exemption
2011-03-29 12:00Jim Hamilton's World of Securities Regulation - Illinois Adopts by Emergency Written Exam for Salespersons Dealing Exclusively in Investment Banking
2011-03-28 19:00Jim Hamilton's World of Securities Regulation - Sen. Crapo Asks Regulators to Refrain from Uniform Risk Retention Rules for Commercial Mortgage-Backed Securities
2011-03-28 17:00Jim Hamilton's World of Securities Regulation - Community Bankers Endorse Bachus Legislation Replacing CSFB Director with Five Member Commission
2011-03-28 15:00Jim Hamilton's World of Securities Regulation - Senate Authors of Qualified Residential Mortgage Carve Out from Dodd-Frank Risk Retention Provisions Clarify Legislative Intent
2011-03-28 14:00Jim Hamilton's World of Securities Regulation - Global Audit Firms and Corporate Groups Reject Presumptive Doubt as Part of Professional Skepticism in Financial Statement Audit
2011-03-27 15:30Jim Hamilton's World of Securities Regulation - IAASB Examines Implications of Evolving Financial Statement Disclosures for the Outside Auditor
2011-03-26 19:00Jim Hamilton's World of Securities Regulation - IOSCO Begins Initiatives to Involve Securities Regulators in Mitigating Systemic Risk
2011-03-25 18:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-03-25 12:30Jim Hamilton's World of Securities Regulation - Financial Services Companies Fear that Proposed SEC Whistleblower Rules Could Breach Customer Information Walls
2011-03-24 20:30Jim Hamilton's World of Securities Regulation - Pending COSO Updated Internal Controls Framework Discussed by PCAOB's Standing Advisory Group
2011-03-24 12:00Jim Hamilton's World of Securities Regulation - House Financial Services Committee to Mark Up GSE Reform Legislation
2011-03-23 20:00Jim Hamilton's World of Securities Regulation - House Legislation Raising the Regulation A Exemption Threshold Gains Favor Conditioned on Audited Financial Statements
2011-03-23 15:30Jim Hamilton's World of Securities Regulation - German High Court Rules that Bank Had Duty to Advise on Risks of Complex Derivatives Contract
2011-03-23 11:00Jim Hamilton's World of Securities Regulation - In Letter to Sen. McConnell, Senate Democrats Urge Adequate Funding for CFTC
2011-03-22 15:30Jim Hamilton's World of Securities Regulation - Supreme Court Reaffirms Historic Total Mix Test for Rule 10b-5 Materiality, Rejects Bright-Line Rule as SEC Urged
2011-03-22 15:00Jim Hamilton's World of Securities Regulation - High Court Rejects "Statistical Significance" Materiality Argument
2011-03-22 14:00Jim Hamilton's World of Securities Regulation - Well, That "Settles" That....For Now
2011-03-22 13:30Jim Hamilton's World of Securities Regulation - Hong Kong Securities Regulator Examines Impact of Alternative Trading Venues
2011-03-21 13:00Jim Hamilton's World of Securities Regulation - Big Four See UK Auditing Practices Board Proposals on Professional Skepticism in Broader Corporate Governance Framework
2011-03-20 16:30Jim Hamilton's World of Securities Regulation - House Legislation Would Exempt Private Equity Fund Advisers from SEC Registration
2011-03-20 13:00Jim Hamilton's World of Securities Regulation - Chamber and Business Groups Ask Treasury to Follow Six Points on Setting Up CFPB
2011-03-20 12:30Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Supports House Legislation Repealing Pay Ratio Provision of Dodd-Frank
2011-03-19 15:00Jim Hamilton's World of Securities Regulation - Senate Legislation Would Raise 500-Shareholder SEC Reporting Threshold to 2000 for Bank Holding Companies
2011-03-19 07:00Jim Hamilton's World of Securities Regulation - New York Taps Marc Minor to Head Investor Protection Bureau
2011-03-18 22:00Jim Hamilton's World of Securities Regulation - Broad Support Building for Legislation Creating US Covered Bond Market
2011-03-18 13:30Jim Hamilton's World of Securities Regulation - House Leaders Introduce GSE Reform Legislation Ending Fannie and Freddie Conservatorship
2011-03-17 13:00Jim Hamilton's World of Securities Regulation - Senate Committee Recommends Reporting 401(k) Securities Lending Information to the SEC
2011-03-17 12:00Jim Hamilton's World of Securities Regulation - House Bill Reinstating SEC Rule 436(g) for Rating Agencies Could Contain Franken Amendment
2011-03-17 11:00Jim Hamilton's World of Securities Regulation - PCAOB Investor Advisory Group Calls for Expanded Disclosure in Audit Report
2011-03-16 18:00Jim Hamilton's World of Securities Regulation - Michigan Administrative Order on Advisers Aligns with Dodd-Frank
2011-03-16 15:00Jim Hamilton's World of Securities Regulation - Chairman Bachus Introduces Bill to Replace Director of Consumer Financial Protection Bureau with Five-Member Commission
2011-03-16 13:00Jim Hamilton's World of Securities Regulation - Secretary Geithner Responds to Congressional Concerns on Role of Consumer Financial Protection Bureau in Mortgage Servicing Settlement
2011-03-16 12:30Jim Hamilton's World of Securities Regulation - California Seeks Comments on a Proposed Private Adviser Exemption Rule
2011-03-15 13:00Jim Hamilton's World of Securities Regulation - House Oversight Chair Says SEC and CFTC Not Coordinating Dodd-Frank Derivatives Regulations
2011-03-14 21:30Jim Hamilton's World of Securities Regulation - House Financial Services Committee Unveils Four Pieces of Draft Legislation Amending Dodd-Frank
2011-03-14 19:30Jim Hamilton's World of Securities Regulation - House Chairs Ask for Investigation of CFTC's ``Vague and Minimalist'' Cost-Benefit Analysis for Rules Implementing Dodd-Frank Derivatives Title
2011-03-14 16:30Jim Hamilton's World of Securities Regulation - Dodd-Frank Ban on Pre-Dispute Arbitration Agreements under SOX Whistleblower Protection Provision Applies Retroactively
2011-03-14 14:00Jim Hamilton's World of Securities Regulation - AEI Scholar Norman Ornstein to Keynote NASAA's Public Policy Conference
2011-03-14 13:00Jim Hamilton's World of Securities Regulation - In Letter to SEC, Hedge Fund Industry Interprets Dodd-Frank as Requiring Aggregate Rather than Individual Public Reporting of Short Positions
2011-03-13 18:30Jim Hamilton's World of Securities Regulation - 3 new articles
2011-03-12 16:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Urges SEC to Clarify Exemption for Investment Advisers and Commodity Trading Advisors in Dodd-Frank Municipal Advisor Rules
2011-03-12 14:30Jim Hamilton's World of Securities Regulation - In Determining if Hedge Fund Subject to Systemic Risk, Financial Stability Council Urged to Consider Industry Changes Since LTCM
2011-03-11 16:00Jim Hamilton's World of Securities Regulation - Chairman Bachus Asks SEC and CFTC to Explain Pace of Dodd-Frank Rulemaking and How Comments are Analyzed
2011-03-11 10:30Jim Hamilton's World of Securities Regulation - Texas Adopts New Part 2 of Form ADV
2011-03-10 20:00Jim Hamilton's World of Securities Regulation - Key Senator Urges Appropriations Committee to Fully Fund SEC and CFTC
2011-03-10 16:30Jim Hamilton's World of Securities Regulation - SEC Directors Testify before House Subcommittee on Budget Concerns and Dodd-Frank Implementation
2011-03-09 20:00Jim Hamilton's World of Securities Regulation - Alberta Appeals Court Rules that Canadian Government Not Empowered to Enact Federal Securities Code
2011-03-09 15:30Jim Hamilton's World of Securities Regulation - Chairman Bachus Says Overly Broad SEC Proposed Municipal Advisor Rules Would Sweep In Thousands of Bank Employees
2011-03-08 19:00Jim Hamilton's World of Securities Regulation - EU Economic Affairs Committee Working on Draft Derivatives Legislation with Expanded Role for ESMA
2011-03-08 16:30Jim Hamilton's World of Securities Regulation - Draft EU Regulation Would Deal Ban Naked Credit Default Swaps and Crack Down on Short-Selling and Sovereign Debt Speculation
2011-03-08 16:00Jim Hamilton's World of Securities Regulation - Kansas Requires IA Applicants and Registrants to Submit New Part of Form ADV
2011-03-08 13:00Jim Hamilton's World of Securities Regulation - Ohio Guides Advisers on the Switch from Federal to State Advisory Status under Dodd-Frank Act
2011-03-08 11:30Jim Hamilton's World of Securities Regulation - Mass. Attorney General Urges SEC to Clear Up Market Confusion Over Rating Agency Liability in Light of Dodd-Frank's Nullification of Rule 436(g)
2011-03-07 22:00Jim Hamilton's World of Securities Regulation - CFTC Commissioner Concerned that Proposed Regulations Implementing Dodd-Frank Derivatives Regime Differ with EU Draft Legislation
2011-03-07 20:30Jim Hamilton's World of Securities Regulation - Global Audit Firms Comment on Dodd-Frank Mandated SEC Study on Extraterritorial Reach of Federal Securities Laws
2011-03-07 15:00Jim Hamilton's World of Securities Regulation - UK Regulator Replaces Higgs Report with Corporate Governance Guidance Focusing on Roles of Corporate Secretary and Senior Independent Director
2011-03-07 13:30Jim Hamilton's World of Securities Regulation - UK Minister Supports Proportionate Audit and Reporting Standards for Smaller Companies
2011-03-06 18:00Jim Hamilton's World of Securities Regulation - Securities Industry Urges SEC and CFTC to Consider the Cross-Border Application of Proposed Swap Dealer Regulations under Dodd-Frank
2011-03-06 16:00Jim Hamilton's World of Securities Regulation - FSA Chief Envisions New UK Financial Conduct Authority as Interventionist, Consumer-Driven and Primarily Rules-Based
2011-03-04 11:30Jim Hamilton's World of Securities Regulation - Two Senate Chairs Urge Fed to Follow Legislative Intent in Implementing Dodd-Frank Interchange Rule
2011-03-03 20:00Jim Hamilton's World of Securities Regulation - SEC Chair Pledges Consistent Cross-Border Derivatives Regulation in Senate Testimony
2011-03-03 19:30Jim Hamilton's World of Securities Regulation - SEC General Counsel Responds to House Financial Services Chair Spencer Bachus' Inquiries on Madoff Fraud
2011-03-03 16:00Jim Hamilton's World of Securities Regulation - Lousiana Requires New Part 2 of Form ADV for IAs
2011-03-02 12:30Jim Hamilton's World of Securities Regulation - District Court: Dodd-Frank Arbitration Ban for Sarbanes-Oxley Whistleblower Cases Applied Retroactively
2011-03-01 19:30Jim Hamilton's World of Securities Regulation - Business Groups Urge Consumer Financial Protection Bureau to Defer Rulemaking Until Director Confirmed
2011-03-01 16:30Jim Hamilton's World of Securities Regulation - Colorado Requires IAs to File New Part 2 of Form ADV
2011-03-01 12:00Jim Hamilton's World of Securities Regulation - Securities Industry Urges SEC and CFTC Not to Regulate Investment Companies and ERISA Plans as Major Swap Participants
2011-03-01 11:30Jim Hamilton's World of Securities Regulation - Pennsylvania Sets Time-Table for Filing New Part 2 of Form ADV

 

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