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Jim Hamiltons World of Securities Regulation Archive for May, 2011

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2011-05-31 23:00Jim Hamilton's World of Securities Regulation - 3 new articles
2011-05-31 19:30Jim Hamilton's World of Securities Regulation - SEC Chair Schapiro Emphasizes Independent Funding for Accounting Standard-Setters
2011-05-31 18:00Jim Hamilton's World of Securities Regulation - FSA Senior Official Examines European Commission Proposals to Amend the Markets in Financial Instruments Directive (MiFID)
2011-05-31 12:00Jim Hamilton's World of Securities Regulation - Sixth Circuit Panel Says Scienter Pleadings Must Be Viewed Holistically after Supreme Court Matrixx Ruling
2011-05-30 19:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-05-30 16:30Jim Hamilton's World of Securities Regulation - SEC Officials Discuss General Solicitation Ban and 500-Shareholder Limit at House Hearings on Capital Formation
2011-05-30 14:00Jim Hamilton's World of Securities Regulation - Financial Stability Board Asked to Consider Evolving Hedge Fund Counterparty Risk Management and New Regulations as it Reviews Shadow Banking System
2011-05-29 20:30Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Asks for Global Regulatory Coordination as EU Implements Alternative Investment Fund Directive
2011-05-29 15:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Asks for Global Regulatory Coordination as EU Implements Alternative Investment Fund Directive
2011-05-28 15:30Jim Hamilton's World of Securities Regulation - Singapore Court of Appeal Says Statutory Duty on Company to Maintain Internal Accounting Controls Not for Benefit of Third Parties
2011-05-28 13:30Jim Hamilton's World of Securities Regulation - SEC Staff Proposes New Framework for Incorporating IFRS Into the US Financial Reporting System
2011-05-27 18:00Jim Hamilton's World of Securities Regulation - EU Parliamentary Committee Approves Legislation Regulating OTC Derivatives
2011-05-27 16:00Jim Hamilton's World of Securities Regulation - EU Parliamentary Committee Approves Legislation Regulating OTC Derivatives
2011-05-27 14:00Jim Hamilton's World of Securities Regulation - House Legislation Would Raise 500-Shareholder Threshold for Reporting Against Backdrop of SEC Review of the Trigger
2011-05-27 12:30Jim Hamilton's World of Securities Regulation - House Legislation Would Raise 500-Shareholder Threshold for Reporting Against Backdrop of SEC Review of the Trigger
2011-05-26 22:30Jim Hamilton's World of Securities Regulation - FSOC Proposed Dodd-Frank FOIA Implementation Regulations Would Undermine FOIA Says Market Group
2011-05-26 18:30Jim Hamilton's World of Securities Regulation - FSOC Proposed Dodd-Frank FOIA Implementation Regulations Would Undermine FOIA Says Market Group
2011-05-26 13:30Jim Hamilton's World of Securities Regulation - Investor and Consumer Groups Oppose House Legislation Amending Dodd-Frank Whistleblower Provisions
2011-05-26 11:30Jim Hamilton's World of Securities Regulation - Investor and Consumer Groups Oppose House Legislation Amending Dodd-Frank Whistleblower Provisions
2011-05-26 02:00Jim Hamilton's World of Securities Regulation - Oregon Reliance Requirement Would Jeopardize Investor Protection, NASAA Argues
2011-05-25 23:30Jim Hamilton's World of Securities Regulation - NASAA: Oregon Reliance Requirement Would Jeopardize Investor Protection
2011-05-25 20:00Jim Hamilton's World of Securities Regulation - House Hearings Reveal Concern with Regulatory Arbitrage in Derivatives Regulations
2011-05-25 16:30Jim Hamilton's World of Securities Regulation - Corporate Secretaries Society Testifies at House Hearings on Draft Legislation Amending Dodd-Frank Whistleblower Provisions
2011-05-25 13:00Jim Hamilton's World of Securities Regulation - SEC Adopts Dodd-Frank Whistleblower Regulations Encouraging Use of Internal Corporate Compliance Programs
2011-05-24 20:30Jim Hamilton's World of Securities Regulation - 4 new articles
2011-05-24 19:00Jim Hamilton's World of Securities Regulation - House Financial Services Committee Approves Legislation Extending Dodd-Frank Derivatives Deadline
2011-05-24 16:00Jim Hamilton's World of Securities Regulation - Commissioner-Designate Gallagher Did Not Endorse Uniform Fiduciary Standard for Brokers and Advisers at 2009 PLI Seminar
2011-05-24 14:30Jim Hamilton's World of Securities Regulation - House Draft Legislation Would Set CFTC 2012FY Budget Below 2011FY CR Level
2011-05-24 12:30Jim Hamilton's World of Securities Regulation - Senator Grassley Asks SEC if Wells Notice Was Drafted Regarding Large Hedge Fund
2011-05-23 12:00Jim Hamilton's World of Securities Regulation - PCAOB Member Hanson Says Transparency Is Central to the Board's Mission
2011-05-23 11:30Jim Hamilton's World of Securities Regulation - PCAOB Member Hanson Says Transparency Is Central to the Board's Mission
2011-05-22 17:00Jim Hamilton's World of Securities Regulation - Senator Grassley Says SEC Dodd-Frank Whistleblower Proposals Are Overbroad; Urges SEC to Follow IRS Model in Crafting Whistleblower Office
2011-05-22 16:00Jim Hamilton's World of Securities Regulation - Senator Grassley Says SEC Dodd-Frank Whistleblower Proposals Are Overbroad; Urges SEC to Follow IRS Model in Crafting Whistleblower Office
2011-05-21 16:00Jim Hamilton's World of Securities Regulation - Bi-Partisan Legislation Enhancing Fight against Financial Fraud Favorably Reported to Senate Floor
2011-05-21 15:30Jim Hamilton's World of Securities Regulation - Bi-Partisan Legislation Enhancing Fight against Financial Fraud Favorably Reported to Senate Floor
2011-05-20 11:30Jim Hamilton's World of Securities Regulation - Senate Banking Committee Republicans Urge Chairman Johnson to Hold Hearings and Mark-Up Legislation Reforming Consumer Financial Protection Bureau
2011-05-19 16:00Jim Hamilton's World of Securities Regulation - President Obama to Nominate SEC Commissioner Who Wants to Prevent Regulatory Arbitrage and Favors Uniform Fiduciary Standard for Brokers and Advisers
2011-05-19 13:30Jim Hamilton's World of Securities Regulation - President Obama to Nominate SEC Commissioner Who Wants to Prevent Regulatory Arbitrage and Favors Uniform Fiduciary Standard for Brokers and Advisers
2011-05-19 11:30Jim Hamilton's World of Securities Regulation - Senate and House Members Deliver Ringing Endorsement of Inspectors General for Federal Agencies
2011-05-19 10:00Jim Hamilton's World of Securities Regulation - Senate and House Members Deliver Ringing Endorsement of Inspectors General for Federal Agencies
2011-05-18 16:30Jim Hamilton's World of Securities Regulation - California Adopts Rule to Exclude Associated Persons of Issuers From Broker-Dealer Definition
2011-05-18 13:30Jim Hamilton's World of Securities Regulation - Senate Hearings Reveal Growing Consensus for Reproposal of Dodd-Frank Risk Retention Regulations
2011-05-18 11:00Jim Hamilton's World of Securities Regulation - Banking and Consumer Groups Ask for Extension of Comment Period and Public Hearings on Risk Retention Proposals
2011-05-18 00:30Jim Hamilton's World of Securities Regulation - SFC Regulation of Credit Rating Agencies in Hong Kong Begins on June 1
2011-05-17 18:00Jim Hamilton's World of Securities Regulation - SFC Regulation of Credit Rating Agencies in Hong Kong Begins on June 1
2011-05-17 16:00Jim Hamilton's World of Securities Regulation - 3 new articles
2011-05-17 15:30Jim Hamilton's World of Securities Regulation - Issue of Audit Concentration in Big Four Moves from Audit Regulators to Competition Authorities in UK
2011-05-17 14:30Jim Hamilton's World of Securities Regulation - IAASB Will Consult on Enhancing External Audit Report by Closing Expectation and Information Gaps
2011-05-17 09:30Jim Hamilton's World of Securities Regulation - NY Senators Caution that Dodd-Frank Derivatives Regulations Must Be Harmonized Globally to Avoid Regulatory Arbitrage
2011-05-16 21:30Jim Hamilton's World of Securities Regulation - 3 new articles
2011-05-16 18:30Jim Hamilton's World of Securities Regulation - FASB and IASB Align IFRS-US GAAP Fair Value Measurement Standards
2011-05-16 13:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-05-15 01:00Jim Hamilton's World of Securities Regulation - PCAOB SAG Member Warns Congress that SEC Whistleblower Regulations without Internal Notification Could Harm Financial Reporting
2011-05-14 23:30Jim Hamilton's World of Securities Regulation - PCAOB SAG Member Warns Congress that SEC Whistleblower Regulations without Internal Notification Could Harm Financial Reporting
2011-05-13 18:30Jim Hamilton's World of Securities Regulation - Senate Commerce Committee Chair Asks SEC to Issue Guidance on Disclosure of Risk of Cyber Attacks
2011-05-13 13:00Jim Hamilton's World of Securities Regulation - Senate Commerce Committee Chair Asks SEC to Issue Guidance on Disclosure of Risk of Cyber Attacks
2011-05-12 15:00Jim Hamilton's World of Securities Regulation - House Holds Hearings on Legislation Revising Dodd-Frank Whistleblower Provisions
2011-05-12 12:30Jim Hamilton's World of Securities Regulation - House Holds Hearings on Legislation Revising Dodd-Frank Whistleblower Provisions
2011-05-11 15:30Jim Hamilton's World of Securities Regulation - 2 new articles
2011-05-11 14:00Jim Hamilton's World of Securities Regulation - Hedge Fund Industry Supports SEC Approach of Applying Beneficial Reporting Rules to Security-Based Swaps in Implementing Dodd-Frank
2011-05-11 13:00Jim Hamilton's World of Securities Regulation - Congressional Democrats Ask Labor Department to Repropose Regulation Redefining ERISA Fiduciary and Coordinate with SEC and CFTC
2011-05-10 20:30Jim Hamilton's World of Securities Regulation - Federal Court Rules that Private Invocation of Dodd-Frank Anti-Retaliation Whistleblower Section Requires Providing Information to SEC
2011-05-10 02:00Jim Hamilton's World of Securities Regulation - Senate Banking Committee Members Ask SEC Inspector General to Conduct Economic Analyses of Dodd-Frank Proposed Regulations
2011-05-09 23:00Jim Hamilton's World of Securities Regulation - Senate Banking Committee Members Ask SEC Inspector General to Conduct Economic Analyses of Dodd-Frank Proposed Regulations
2011-05-08 22:30Jim Hamilton's World of Securities Regulation - House Panel Approves Legislation Repealing Corporate Governance Provision of Dodd-Frank
2011-05-08 01:30Jim Hamilton's World of Securities Regulation - NASAA Opposes Broad Exemptions for Operations Personnel
2011-05-06 15:00Jim Hamilton's World of Securities Regulation - FDIC Chair Says Hard Metrics Must Back Up Designation of Systemically Important Financial Institution
2011-05-06 08:00Jim Hamilton's World of Securities Regulation - In Letter to SEC, CalPERS Asks that Exchanges Not Be Allowed to Establish Differing Independence Standards for Compensation Committees
2011-05-05 22:30Jim Hamilton's World of Securities Regulation - Senate Republicans Will Not Confirm Single Director for CFPB
2011-05-05 16:00Jim Hamilton's World of Securities Regulation - House Leaders Ask Financial Stability Oversight Council to Resubmit Proposed Reg on Designating Non-Bank Systemically Important Firms
2011-05-05 12:00Jim Hamilton's World of Securities Regulation - House Ag Committee Reports Out Legislation Extending Deadline for SEC-CFTC Adoption of Dodd-Frank Derivatives Regulations
2011-05-04 19:30Jim Hamilton's World of Securities Regulation - House Subcommittee Approves Legislation Exempting Derivatives End Users from Posting Margin
2011-05-04 16:00Jim Hamilton's World of Securities Regulation - Securities and Banking Industries Support Legislation Extending Deadline for Dodd-Frank Derivatives Regulations
2011-05-04 08:00Jim Hamilton's World of Securities Regulation - Banking Industry Supports House Bills Changing CFPB from Director to Commission and Having Simple FSOC Majority Nullify Its Regs
2011-05-03 16:00Jim Hamilton's World of Securities Regulation - House Marks Up Bi-Partisan US Covered Bond Legislation
2011-05-03 15:30Jim Hamilton's World of Securities Regulation - House Marks Up Bi-Partisan US Covered Bond Legislation
2011-05-02 16:30Jim Hamilton's World of Securities Regulation - SIFMA Urges SEC and Bank Regulators to Recognize Securitization Carve Out from Dodd-Frank Volcker Rule
2011-05-01 21:00Jim Hamilton's World of Securities Regulation - SEC Extends Comment Period on Proposed Regulations on Independent Compensation Committees

 

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